- HSBC (New York, NY)
- …primary focus in the management of FINRA and SWAP Dealer licensed employees. As our Regulatory Risk Manager , FINRA Lead you will: + Ensure adherence ... our communities and the planet we all share. The Regulatory Risk Manager is responsible...in risk management concepts + Experience in regulatory risks, with an understanding specifically in FINRA… more
- Truist (New York, NY)
- …business and regulatory change). + Provide oversight and support for open risk , audit, and regulatory issues. Evaluate the root cause, the corrective action ... unit's leadership regarding activities, trends, and events pertaining to risk , regulatory , and audit review activities. Promote...Master's degree in finance or equivalent science/academic field. + FINRA Series 79, 24 (may be required once on… more
- 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
- 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 ... real estate ("CRE") portfolio as a credit officer . 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
- 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
- Wells Fargo (New York, NY)
- …a hybrid work schedule + Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority ( FINRA ) license(s) is required for ongoing employment ... customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance),… 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
- TD Bank (New York, NY)
- … requirements **Job Requirements** + 7-8 years of Global Markets, Risk /Compliance Operations, and/or regulatory reporting experience + Subject matter ... excellence, and commitment to customer service. **Department Overview** The Regulatory Reporting Group (RRG) has operational oversight to ensure compliance… 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
- 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
- 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