- 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
- 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
- NBC Universal (Englewood Cliffs, NJ)
- …+ Maintain financial master data and hierarchies including chart of accounts, legal entity structures, and reporting dimensions + Monitor data integrations ... content. The spin-off is expected to be completed during 2025. The Manager , Financial Systems plays a key role in supporting the administration, maintenance,… 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
- Wells Fargo (New York, NY)
- …Committee, International Management Committee, International Operating Committee, International Risk & Control Committee, regional legal entity & Board ... Conduct Authority Senior Manager Regime; * Expertise with legal entity structures within US and European companies, including the underlying regulatory… 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)
- …provisions in agreements such as ISDAs, GMRAs, and GMSLAs + Advising on entity optimization and structuring Preferred Qualifications: + Juris Doctorate + 5+ years of ... technical knowledge and research skills + Strong analytical thinking + Solid legal writing and verbal communication skills + Sound judgment and decision-making… more
