- SMBC (New York, NY)
- …Personal Account Dealing) + Financial Crimes Compliance + Regulatory Change Management + Compliance Alerts and other Communications Governance and Reporting: ... business is conducted and transactions are executed. **Role Objectives** The Broker Dealer Regulatory Governance Advisory Team within the CPAD Advisory … more
- SMBC (New York, NY)
- …and findings and circulates information in periodic status reports. + Maintaining regulatory communications , transmittal letters, management responses, and ... strategies. The Regulatory Relations team is the primary contact for regulatory interactions and exam management for US regulators. Role Description The… more
- Citigroup (New York, NY)
- The Regulatory Communications , Advisory & Management team within the Enterprise Data Office's (EDO) Business Enablement and Data Governance group leads ... address senior leaders' questions, concerns and direction. The Regulatory Communications , Advisory & Management Senior Vice President (for EDO) reports… more
- City National Bank (New York, NY)
- …are in place to mitigate compliance risk. Maintaining regulatory change management , policies and procedures, training, and advisory matters. This role is ... *COMPLIANCE OFFICER SENIOR-INVESTMENT ADVISORY * *WHAT IS THE OPPORTUNITY?* The Senior Compliance...* Provide credible challenge at committee meetings. * Manage regulatory change management and participate with business… more
- American Express (New York, NY)
- …help us define the future of American Express. The SOX Governance and Advisory team within Controllership (1LOD) plays a critical role in supporting the enterprise ... Act. The team is looking for a highly motivated and detail-oriented SOX IT Risk Advisory Manager to join our growing team. This role will help to ensure that Amex's… more
- Raymond James Financial, Inc. (New York, NY)
- …in investment and financial planning, in addition to capital markets and asset management . At Raymond James, we are putting the power of perspectives into action ... **Job Summary** _Investment Banking Summer_ _Associates_ _(part of the Capital Markets & Advisory area)_ are given a high level of responsibility on matters of… more
- BMO Financial Group (New York, NY)
- …group management in communicating and implementing changes to applicable regulatory policies and procedures. + Represent the Compliance team and interact with ... Currencies, and Commodities LOBs and other internal business partners to ensure regulatory , corporate and fiduciary obligations are met. You will have a specific… more
- Truist (New York, NY)
- …invited to create a profile, which will let you see your application status and any communications . If you already have a profile with us, you can log in to check ... the business on existing and emerging risks. Responsible for supporting strong risk management practices in alignment with the firm's risk appetite and the assigned… more
- PNC (Stamford, CT)
- …Business Acumen, Customer Experience Management ., Customer Relationship Management (CRM), Effective Communications , Industry Knowledge, Marketing Strategy ... success. As an Investor Relations Sr Associate, within PNC's Solebury Strategic Communications organization, you will be based in Stamford. PNC will not provide… more
- PNC (Stamford, CT)
- …Business Acumen, Customer Experience Management ., Customer Relationship Management (CRM), Effective Communications , Industry Knowledge, Marketing Strategy ... company's success. As an Investor Relations Analyst, within PNC's Solebury Strategic Communications organization, you will be based in Stamford. PNC will not provide… more
- TD Bank (New York, NY)
- …and futures), and FICC highly desired. + Strong understanding of global regulatory expectations for trade and communications surveillance programs, and deep ... the effectiveness of the firm's surveillance framework across trade and communications monitoring. The incumbent will report to the Director of Surveillance… more
- JPMorgan Chase (New York, NY)
- …on regulatory updates (SEC and other) impacting the asset management business **Required qualifications, capabilities, and skills** + Bachelor's degree + 8+ ... your expertise to JPMorgan Chase. As part of Risk Management and Compliance, you are at the center of...possess expertise in Compliance and a strong understanding of regulatory , audit, and related best practices. The responsibilities include… more
- Bank of America (White Plains, NY)
- …+ Collaboration + Oral Communications + Relationship Building + Business Operations Management + Client Solutions Advisory + Planning + Talent Development + ... years of age.** Acknowledge (https://ghr.wd1.myworkdayjobs.com/Lateral-US/job/White-Plains/Merrill-Market-Supervision-Manager\_25018031) **Job Description:** Merrill Wealth Management is a leading provider of comprehensive wealth … more
- TD Bank (New York, NY)
- …management , ongoing monitoring, policy reviews, communications , and complaints management to ensure regulatory compliance and operational excellence. The ... Conducts internal and external research projects; supports the development/delivery of presentations/ communications to management or broader audience + Actively… more
- Bank of America (New York, NY)
- …team work. **Skills:** + Advisory + Monitoring, Surveillance, and Testing + Regulatory Compliance + Reporting + Risk Management + Critical Thinking + ... + Business Process Analysis + Decision Making + Negotiation + Process Management + Written Communications **Required Qualifications:** + Minimum of seven years… more
- Cognizant (New York, NY)
- …clients reimagine their business. Blending our deep industry and technology advisory capability, we create innovative business solutions for Fortune 500 clients. ... end-to-end reporting flows-data lineage, transformation, rendering, and distribution-and ensure regulatory and client-specific SLAs are met. **In this role, you… more
- TD Bank (New York, NY)
- …Affluent clients of TD Bank, NA encompassing banking, custom credit, asset management , securities, investment advisory and insurance) through multiple legal ... entities (TD Bank NA, TD Private Client Wealth LLC and TD Wealth Management Services Inc) with independent and complex regulatory regimes.** **The Financial… more
- Boehringer Ingelheim (Ridgefield, CT)
- …act with grace and resilience under pressure. + Strong project management skills. + Excellent communication skills. + Excellent cross-functional collaboration skills ... Clinical Development roles, roles in combination with market knowledge and savviness, Management experience considered a plus). + For roles in Early Medical Affairs:… more
- Bank of America (New York, NY)
- …systems. **Skills:** + Advisory + Monitoring, Surveillance, and Testing + Regulatory Compliance + Reporting + Risk Management + Critical Thinking + ... + Business Process Analysis + Decision Making + Negotiation + Process Management + Written Communications **Shift:** 1st shift (United States of America)… more
- City National Bank (New York, NY)
- …are in place to mitigate compliance risk. Maintaining regulatory change management , policies and procedures, training, and advisory matters for mortgage ... ensuring materials comply with regulatory and business standards. * Manage regulatory change management and participate with business areas supported such as… more
