- PNC (Cleveland, OH)
- …be successful in this position. **Preferred Skills** Compliance Reporting, Customer Risk , Decision Making, Regulatory Requirements, Risk Assessments, ... prudential regulations (eg, Reg O, Reg W) and compliance with certain state specific "de-banking laws". The ideal...laws". The ideal candidate will have the following: * Compliance , regulatory or legal experience * Experience… more
- Bloomberg (New York, NY)
- …as key Legal, Risk , Business and Technology partners, in delivering a Compliance Risk Management Program (Program) and contributing to key regulatory ... Operational Risk Manager - Regulatory Mapping -...12 month contract Location New York Business Area Legal, Compliance , and Risk Ref # 10045734 **Description… more
- American Express (New York, NY)
- …Act (SCRA), Military Lending Act (MLA), etc. + Knowledge of Compliance risk management processes including governance, regulatory change management, risk ... in depth knowledge of US banking industry consumer and prudential compliance requirements, and support integrated audit...annual Audit Plan, leveraging knowledge of the portfolio, banking, regulatory , and industry trends to establish a risk… 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
- SMBC (New York, NY)
- …regulators and promptly shares feedback to management and relevant business units on regulatory expectations. + Oversee compliance and alignment of team member ... strongly preferred. + Comprehensive knowledge of financial services supervisory and regulatory environment including familiarity in financial services risk … more
- M&T Bank (Paramus, NJ)
- …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
- 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
- TD Bank (Charlotte, NC)
- …US Compliance , we're on a mission to build a more resilient and scalable compliance risk management function. As part of our team, you'll play a key role ... and supports the development, implementation, and maintenance of a regulatory compliance program through compliance ...lines, as well as compliance reviews of compliance units (CUs) within Compliance Risk… more
- American Express (New York, NY)
- … 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 (New York, NY)
- …Sustainability Strategy and Planning Office, CFSO, and other functions (Legal, Risk , Compliance , Operations) to help coordinate cross-functional initiatives and ... issues affecting large, regulated financial institutions, including supervisory policy, prudential standards, and evolving regulatory expectations. + Strategic… 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
- American Express (Phoenix, AZ)
- … professionals have diverse backgrounds including internal controls, consumer compliance , technology, operational risk , financial accounting, data analytics, ... functions generally and liquidity specifically who understands and applies US regulatory requirements specific to Liquidity Risk Management (LRM), including… more
- M&T Bank (Iselin, NJ)
- …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
- M&T Bank (Baltimore, MD)
- …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
- TEKsystems (Fort Mill, SC)
- …supports compliance teams and advisors by automating review processes, approvals, and risk checks. o Regulatory Compliance : Ensures adherence to FINRA ... team plays a critical role in supporting the firm's compliance and risk management efforts by enabling...flex up and down - Financial Services experience - Compliance / Regulatory / Supervision would be… more