- CIBC (New York, NY)
- …CIBC, please visit CIBC.com (https://www.cibc.com/en/about-cibc.html) **What You'll Be Doing:** The Capital Markets Compliance Examination Specialist ... is responsible for the execution of the US Compliance Examination Plan established to ensure adherence... compliance . This position primarily supports the US Capital Markets line of business, which includes… more
- New York State Civil Service (Albany, NY)
- …not limited to, the following:When assigned to the field:* Supports supervision and examination work on Trust Company charters for compliance with relevant laws, ... with part 500 and 504;* Assesses an institution's capital adequacy and capital planning process and...present plans, trends and problems, and to discuss significant examination findings;* Monitors institutions compliance with the… more
- TD Bank (New York, NY)
- …for ADA purposes. **Who We Are** TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients ... the impact and advise the business on current and emerging regulatory and compliance issues and industry or market developments to ensure that anticipated… more
- Scotiabank (New York, NY)
- …and Markets ** Global Banking and Markets (GBM) is a leading Canadian Capital Markets and Investment Banking business with a growing platform in the US ... our clients an important bridge to this key global market for trade and investment flows across the Americas...the Scotiabank Group. Be part of an innovative, Global Capital Markets and Investment Banking business with… more
- New York State Civil Service (Albany, NY)
- …12208 Duties Description The Developmental Disabilities Operations Director 1 (Director of Capital Finance) will support the Division of Fiscal Policy and Management ... (DFPM) by overseeing the day-to-day operations of the Real Property- Capital Finance Bureau. Real Property - Capital Finance is responsible for all aspects of… more
- TD Bank (New York, NY)
- …for ADA purposes. **Who We Are** TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients ... Codes of Conduct Principles, FMSB Standards, Cross Border activities, Regulatory Compliance Management (RCM), Regulatory Exams, Audits & Testing and Examination… more
- SMBC (New York, NY)
- …include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets , Inc., SMBC MANUBANK, JRI America, Inc., SMBC Leasing and ... Mexico, Brazil, Chile, Colombia, and Peru. Backed by the capital strength of SMBC Group and the value of...clients. It connects a diverse client base to local markets and the organization's extensive global network. The Group's… more
- Trustco Bank (Albany, NY)
- …Trustco Bank's Board of Directors. + Executes purchases and sales to raise capital , invest any excess cash and rebalances accounts as necessary. + Researches and ... analyzes global events, overall market trends, and daily economic press releases. Including the examination of earning reports for all stocks on the Bank's… more
- New York State Civil Service (New York, NY)
- …not limited to, the following:* Oversees the activities of the three Regulatory Compliance Units and works with the Assistant Chief who oversees the Examination ... conference calls where initiatives or changes impacting accounting reporting or capital requirements for health insurers are discussed;* Supports, through action and… more
- New York State Civil Service (New York, NY)
- …The Division is responsible for establishing standards for financial solvency, market conduct, corporate oversight, and regulation, and monitoring the compliance ... Producers Bureau, responsible for all aspects of the licensing, examination , supervision, investigation and discipline of insurance producers.The Executive Deputy… more