- SMBC (New York, NY)
- …across CUSO Market Risk and other risk stripes under the Swap-Dealer and Broker-Dealer legal entity CRO umbrella. - Track and manage regulatory, audit, and ... reviews, and ad-hoc requests. - Support interactions with internal audit and control departments for monitoring and testing activities. - Support regulatory exams… more
- Terumo Medical Corporation (New York, NY)
- …team to include Business Development Managers (BDM), National Business Development Manager (NBDM), etc. in assigned accounts within the Imaging/Cardiology Quarterly ... knowledge of and adherence to regulations regarding promotional material content and control . Follow procedures for good clinical practices and Design Control … more
- SMBC (New York, NY)
- …expertise in US securities, laws and regulations. + Proactively engage with Compliance, Legal and other control function colleagues to enhance the overall ... Regulatory Engagements: The Regulatory Governance Team supports SMBC's Broker-dealer entity in managing regulatory exams and responding to regulatory inquiries… more
- JPMorgan Chase (Jersey City, NJ)
- …services, and play a pivotal role in shaping our control environment. As a Legal Entity Control Manager , you'll have the opportunity to collaborate ... senior stakeholders and drive compliance initiatives that impact our business worldwide. As a Legal Entity Control Manager within the JPMS LLC Control… more
- Citigroup (New York, NY)
- …to direct audit activities that support a subset of a product line, function, or legal entity at the global or regional level, in accordance with IA standards, ... to maintain these standards. + In situations where this role is the designated Legal Entity Chief Audit Executive, their responsibility towards the legal … more
- Robert Half Finance & Accounting (New York, NY)
- …in review of legal documentation and raise issues to lending team and/or legal team as and when appropriate. * Entity creation and ongoing management and ... Robert Half Financial Services are hiring for a Transaction Manager role for a global Investment & Lending firm...documents and liaising between various teams across origination, operations, legal etc. The role requires 3 days per week… more
- CIBC (New York, NY)
- …development and completion of monthly audit reports, quarterly audit reports, and ongoing legal entity reports to key stakeholders. You works with business units ... doing** As a member of CIBC's Internal Audit team, the Senior Auditor/ Manager /Senior Manager is responsible for conducting risk-focused audits; advising business… more
- Scotiabank (New York, NY)
- …working sessions, engaging partners and stakeholders for managing and resolving risk, legal , compliance and other control function related issues and ... Senior Manager , US Liquidity Management Deposit Product Solutions, Global...relevant regulations and internal / external audit, compliance and control requirements + Produce and monitor regular (daily/weekly/monthly) reports… more
- American Express (New York, NY)
- …including in SEC, Federal Reserve and other statutory filings, earnings announcements and legal entity financial statement disclosures. **How will you make an ... new or changing business activities. We focus on developing financial control and risk governance processes, proactively identifying process efficiencies, and… more
- Mizuho Corporate Bank (New York, NY)
- DORA Program Manager and Integrated Testing - Operational Resilience Americas DepartmentThe Americas Operational Resilience Department enables the bank to ... of disruptions. The department ensures the readiness of each entity as well as the ability to respond adequately...initiatives and remediations. + Manage the program governance and control framework. + Coordinate the initiatives across the teams… more
- Neuberger Berman (New York, NY)
- …teams throughout the firms operating platform. **Responsibilities:** + Work closely with legal entity controllers to ensure that accounting policies are properly ... President role will report to the Head of Financial Control and will be responsible for a broad array...key stakeholders + Assist in preparation and review of legal entity financial statements and high-quality financial… more
- TD Bank (New York, NY)
- …in accounting and financial results. Drive monthly team variance discussions to facilitate legal entity oversight & regulatory reporting flux analysis process. + ... reporting. In addition, by its nature as a primary control and support group in the region, TDS Finance...have regular career, development, and performance conversations with your manager , as well as access to an online learning… more
