- MUFG (New York, NY)
- …our recruitment team will provide more details. **Job Summary** : This is a quantitative risk manager role within the MUFG Americas' Risk Analytics Team ... documentation, performance monitoring, model enhancements, etc.) + Quantitative liaison for the regulatory reviews of market risk and valuation models +… more
- Scotiabank (New York, NY)
- Manager , Regulatory Relations Group **Requisition ID:** 219603 **Salary Range:** 90,000.00 - 167,200.00 _Please note that the Salary Range shown is a guideline ... business controls to meet obligations with respect to operational risk , regulatory compliance risk , AML/ATF...experience at a Financial Services Firm, Consulting Firm, or Regulatory agency such as the FRB, FINRA … more
- SMBC (New York, NY)
- …the business and risk management. You will support bank's climate-related financial risk regulatory reporting and disclosure to meet Federal & State ... regulatory expectations. You will work with leaders across risk disciplines and business units to develop climate-related financial risk management… more
- MUFG (New York, NY)
- …strong functional and technical understanding of banking products and data that feed into Risk and Regulatory Reports. This individual will also lead a small ... Liquidity Risk , Operational Risk , Compliance Risk , Reputation Risk , etc.) and Regulatory...with the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures… more
- MUFG (New York, NY)
- …do not conflict with the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The ... the primary contact with the Front Office Business and Risk /Underwriting teams. This role focuses on supporting the Structured...and potential changes in the sector and market or regulatory developments is an important element of this role.… more
- MUFG (New York, NY)
- … Risk Managers to support and enhance processes + Participate in audit and regulatory engagements + Work with Risk stripe lead, Technology and Data Officers ... do not conflict with the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The… more
- MUFG (New York, NY)
- …do not conflict with the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The ... + Perform due diligence and regularly scheduled reviews + Analyze credit risk of the designated portfolio, determine accurate ratings and make recommendations of… more
- SMBC (New York, NY)
- …of implemented changes. Drive successful delivery of projects to address regulatory requirements and enhance risk management capabilities within time, ... the overall strategic objectives. + Serves as the project manager for a set of risk initiatives...be permitted for certain roles, including, for example, certain FINRA -registered roles for which in-office attendance for the entire… more
- MUFG (New York, NY)
- …do not conflict with the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The ... and deliver credit training programs (on-site and virtually) to enhance credit risk analysis skills, product specific knowledge, and an understanding of the Bank's… more
- SMBC (Jersey City, NJ)
- …portfolio of benefits to its employees. **Role Description** SMBC is seeking an experienced Model Risk Audit Manager with a minimum of 8 years' experience in the ... with experience performing or reviewing model validations. + Understanding of applicable regulatory standards (including Model Risk Management (SR 11-7)). +… more
- Raymond James Financial, Inc. (New York, NY)
- …of experience, education, and/or training. + Strong understanding of risk -related regulatory requirements (eg, OCC, FRB, FDIC, SEC, FINRA ) and ability to ... risk organization. + Ensure accurate and timely regulatory risk reporting and interface with ...Skills, and Abilities** **Knowledge of** + Federal Reserve, OCC, FINRA , SEC, and other relevant regulatory guidance… more
- SMBC (New York, NY)
- …to ensure consistency in achieving industry best practices and in minimizing + regulatory risk . + Coordinate compliance regulatory examinations / inquiries ... + Escalate regulatory concerns and other significant matters to their manager . + Communicate policies, procedures and new regulatory requirements simply and… more
- MUFG (Jersey City, NJ)
- …preferred + Preferred: Certified Information Systems Auditor (CISA), Certified Information Security Manager (CISM), or Certified in Risk and Information Systems ... do not conflict with the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The… more
- Bank of America (Jersey City, NJ)
- CFO Regulatory Reporting Controller II (Global Financial Controls) Charlotte, North Carolina;Jersey City, New Jersey **Job Description:** At Bank of America, we are ... capital and FX reports filed with regulators and variance analysis. Prepare regulatory calculations, performs and documents control processes for local Banks, Broker… more
- MUFG (New York, NY)
- …do not conflict with the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The ... Perform due diligence and regularly scheduled credit reviews. + Analyze credit risk of the designated portfolio, determine accurate ratings and make recommendations… more
- MUFG (New York, NY)
- …do not conflict with the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The ... will provide more details. **Job Summary** **:** + Junior Corporate Credit Risk Professional supporting commercial lending & investment banking business primarily to… more
- JPMorgan Chase (New York, NY)
- …and internal audits impacting the Global T&E Business. + Act as the Legal Entity Risk Manager for Delaware and the Bahamas Trust entities. + Work with technology ... Bring your expertise to JPMorgan Chase. As part of Risk Management and Compliance, you are at the center...and best practices + Familiarity with OCC, SEC, and FINRA financial regulations, especially investment management regulations. + Ability… more
- TD Bank (New York, NY)
- …their knowledge and expertise; and employees assume responsibility in minimizing operational and regulatory risk by complying with Bank policy and Code of ... industry standards. US Wealth Compliance acts as an independent regulatory compliance and conduct risk management and...ensuring alignment with strategic objectives + Strong knowledge of regulatory frameworks, including SEC, FINRA , OCC and… more
- TD Bank (New York, NY)
- … requirements and assisting business units to manage their regulatory risk . The Surveillance Quality Assurance Manager will work with the Director ... across trade and communications. + Ensure the surveillance department aligns with global regulatory requirements (eg, SEC, FINRA , CFTC, NFA, FCA, MAS, etc.) and… more
- City National Bank (Jersey City, NJ)
- …Knowledge* Consistently keeps informed of new services, products, industry and regulatory developments and risk events that have a significant ... *SR AUDIT MANAGER - WEALTH MANAGEMENT* WHAT IS THE OPPORTUNITY? The...operational processes to meet bank policies and procedures and regulatory requirements, identify data analytic opportunities, analyze results of… more