- SMBC (Jersey City, NJ)
- …will be the authoritative source on the application and interpretation of prudential regulatory requirements (capital, RWA, leverage, large exposures & ... + Lead and contribute to large-scale, cross-functional projects to enhance regulatory compliance infrastructure. + Develop and deliver training materials… more
- Citigroup (New York, NY)
- …other general corporate and transactional matters. + Appropriately assess legal and regulatory risk in all advice and decisions, demonstrating particular ... will serve as Citi's primary legal adviser on US prudential bank regulatory matters. You will lead...laws, rules, and internal policies. Drive a culture of compliance and proactively manage and report control issues with… more
- TD Bank (New York, NY)
- …7+ years experience **Customer Accountabilities:** + Provides expert/specialized regulatory compliance and prudential risk management guidance on ... mitigates financial crime risk . This involves providing guidance on regulatory compliance , close partnership with business and legal, and operationalizing… more
- Citigroup (Washington, DC)
- …arrangements), and offering expert oversight, ensuring consistency, robustness, and regulatory compliance across multiple geographies and exposure types.** ... global derivatives and securities financing markets. Additional responsibilities may include other regulatory matters in respect of which the Risk Management… more
- M&T Bank (Buffalo, NY)
- …assessment on a recurring and ad-hoc basis in support of achieving the Bank's risk management objectives and regulatory compliance . + Develop and maintain ... for cyber, technology, data and transformation and the enterprise risk management framework and adherence to enhanced prudential... identification, risk policies and governance and regulatory compliance . + Maintain and develop in… more
- Citigroup (Irving, TX)
- …that Citi maintains an accurate Financial Regulations Inventory to support its compliance risk management framework and associated internal controls. The ... Counsel 2 position is an attorney role inf Citi's Regulatory Requirements and Obligation Program that is a hybrid...advice regarding the establishment of appropriate controls to promote compliance and risk management + Prepare a… more
- American Express (Apex, NC)
- … professionals have diverse backgrounds including internal controls, consumer compliance , technology, operational risk , financial accounting, data analytics, ... is to protect and enhance organizational value by providing independent, objective, risk -based assurance, advisory services and to influence the way the company… more
- MUFG (Irving, TX)
- …overseeing risk management related activities (including sanctions-related risk assessments), and communicating with prudential regulators. ... OFAC, prudential regulators, internal audit, and testing.** + **Sanctions regulatory change management** - Monitoring sanctions regulatory changes, including… more
- Charles Schwab (Westlake, TX)
- …translate complex business problems into discrete quantifiable components; + Knowledge of regulatory rules (LCR, NSFR, Enhanced Prudential Standards, Basel III, ... investments and sales opportunities ensuring optimal deployment of excess liquidity while compliance with regulatory metrics + Provide liquidity guidance for… more
- Scotiabank (New York, NY)
- …to and effectiveness of day-to-day business controls to meet obligations with respect to operational risk , regulatory compliance risk , AML/ATF risk ... Do:** + Ensure report compliance with US regulatory requirements such as Enhanced Prudential Standards...responsibilities under the Operational Risk Management Framework, Regulatory Compliance Risk Management Framework,… more
- Scotiabank (New York, NY)
- …to and effectiveness of day-to-day business controls to meet obligations with respect to operational risk , regulatory compliance risk , AML/ATF risk ... Treasury. + Ensure report compliance with US regulatory requirements such as Enhanced Prudential Standards...responsibilities under the Operational Risk Management Framework, Regulatory Compliance Risk Management Framework,… more
- Mizuho Corporate Bank (New York, NY)
- …operational resilience strategy that aligns with the firm's business objectives, regulatory requirements, and enterprise risk management framework. + Establish ... risk appetites. + Collaborate with operational resilience pillars to assess compliance with established capability baselines and risk thresholds. + Monitor… more
- Mizuho Corporate Bank (New York, NY)
- … with established capability baselines and risk thresholds. + Ensure compliance with regulatory requirements. + Maintain alignment with internal policies and ... Maintain and update dashboards and key performance indicators (KPIs) related to regulatory compliance and testing. + Collaborate with operational resilience… more
- MUFG (Irving, TX)
- …knowledge and experience in compliance with banking laws and regulations, compliance risk management, and regulatory oversight + Subject matter ... on cross Financial Crime initiatives + Provide advice and guidance to regional compliance teams + Support regulatory engagements + SME/Global KYC POC for… more
- M&T Bank (Bridgeport, CT)
- …SR 10-6, SR 11-7, Enhanced Prudential Standards, etc. Adhere to applicable compliance /operational/model risk controls and other second line of defense and ... development and management of predictive statistical models. + Conduct business in compliance with regulatory guidance including SR (Supervision and Regulation… more
- MUFG (New York, NY)
- …warning indicator and reporting updates across Treasury teams and engagement with risk management. + Adhere to all Enhanced Prudential Standards requirements ... involvement in all broker dealer treasury functions including funding and liquidity risk management, asset liability management, interest rate risk measurement /… more
- M&T Bank (Buffalo, NY)
- …SR 11-7, Enhanced Prudential Standards, etc. Adhere to applicable compliance /operational/model risk controls and other standards, policies and procedures. + ... methodologies chosen, candidate models, model performance. + Conduct business in compliance with regulatory guidance including SR (Supervision and Regulation… more
- Truist (Charlotte, NC)
- …of proposed rulemaking (NPR) that impact funding strategies/actions. Work with Liquidity Risk team concerning compliance with new regulations. Ensure internal ... funding strategies to meet the wholesale funding needs of Truist that align with risk framework and assist leading the bank funding team. May manage a team.… more
- US Bank (Minneapolis, MN)
- …Service Industry knowledge (eg Prudential and Conduct of Business, Operational Risk , Regulatory Reporting, Compliance , Legal, Human Resources, Treasury, ... audit team management. The Senior Auditor is expected to understand risk and risk management techniques, identify, and analyze business processes, key risks, and… more
- MUFG (Irving, TX)
- …+ Familiarity implementing, testing or evaluating performance of financial crime and compliance systems. + Sound knowledge on AML data including KYC, customer, ... neural networks, fuzzy logic matching, decision trees, etc. + Familiarity of current compliance rules and regulations of the FRB, SEC, OCC, FATF, FinCEN, OFAC, and… more
