- Capital One (New York, NY)
- Principal Auditor (Experienced Senior Auditor) Corporate Compliance Audits (Hybrid) Capital One's Audit function is a dedicated group of professionals focused on ... creates a dynamic and challenging atmosphere for both personal growth and professional opportunity. Capital One is seeking an energetic, self-motivated Principal … more
- MUFG (New York, NY)
- …evaluate the effectiveness of the Bank's governance, risk management, and internal control processes. This position is responsible for the end-to-end execution of ... industry best practices, applicable regulations, and internal and external professional practice expectations. + Effectively manage executive relationships (internally… more
- MUFG (New York, NY)
- …to assess and evaluate the effectiveness of the Bank's governance, risk management and control processes. It reports to a Director. This role includes, but is not ... industry best practices, applicable regulations, and internal and external professional practice expectations. + Act as a leader and...choices are rooted in good judgment and support MUFG's Principal of Ethics and Conduct. + Operate with an… more
- Raymond James Financial, Inc. (New York, NY)
- …either currently or in the future._** We are seeking a detail-oriented professional with hands-on experience in regulatory reporting, specifically with **CAT** and ... this role is responsible for monitoring the possession and control of client assets, preparing and validating regulatory reports,...7, 17, 37 or 38 or those who hold principal -level registrations: Series 4, 9/10, 14, 16, 23, 24,… more
- HSBC (New York, NY)
- …with product partners across Global Banking & Markets including Markets & Securities Services, Global Banking, Global Liquidity & Cash Management, Global Trade & ... Receivables Finance and Issuer Services. Principal Accountabilities: + Lead our FinTech coverage in the...+ Have a understanding of the front to back control environment and the role needs to ensure the… more