of Defense to achieve and sustain its risk-based compliance with applicable laws and regulatory requirements. CMS tests that the... First Line of Defense responsibilities outlined in the Legal Regulatory Compliance Risk Management (LRCRM) Policy, the...
global macro market environment, reporting on the impact of market events on current portfolios Communicate technical... and monitoring Assist in regulatory inquiries involving Prime Services risk and margin framework Evaluate financing requests...
to improve processes and procedures in areas such as banking governance, risk management, regulatory compliance, treasury... their projects and initiatives in strategy, business transformation, IT & digital strategy. Financial Institutions have drastically...
training, manager training, etc. Maintains compliance with federal, state, and local employment laws and regulations...-today management of employees, reducing legal risks and ensuring regulatory compliance. Conducts effective, thorough, and objective...
maintained in compliance with all regulatory agencies, including HPD, Division of Housing & Community Renewal (DHCR... and HRA reporting and Annual Compliance Reviews. Conduct site assessments and create reports with facilities team to ensure...
and/or processes to address regulatory / Compliance requirements or industry trends. Participate in implementing new projects..., GCIB ensures that it conducts adequate reviews for appropriate mitigation, when required. As part of this team, the...
, banks, custodians, and auditors Assist with regulatory compliance, including filings of regulatory forms (NFA/SEC) Assist...Asset Management One USA Inc is a New York-based asset manager (SEC registered investment adviser and CFTC registered...
and procedures and in adherence to legal and regulatory requirements Process payment and receipt of transactions for all product... assessment and audits Sales Work with branch manager and supervisor to attain or exceed individual goals Confidently...
and procedures and in adherence to legal and regulatory requirements Process payment and receipt of transactions for all product... assessment and audits Sales Work with branch manager and supervisor to attain or exceed individual goals Confidently...
, economic and regulatory reporting requirements. Leads underwriting, structuring and closing of amendments, upsizes... and understanding of all loan products and services Understanding the Banks compliance policies as it relates to the specific...
collaboratively and with determination to leave the company in a better place than you found it. As an Accounting Associate... and analysis, including oversight of financial reporting outcomes of all MassMutual investment products. You will thrive...
in IT, governance, risk management, compliance, and business transformation, we help organizations navigate complexity..., refining operational strategies, or ensuring regulatory compliance, we take a proactive, hands-on approach to solving...
relationships by delivering superior client service. The Client Experience Manager will support a diverse set of investment products..., and Compliance Provide a superior level of service across all aspects of client experience, including management of client inquiries...
in a timely manner Oversee regulatory reporting of derivatives across different jurisdictions Monitor daily listed trading... representation, guide documentation to completion, and oversee the regulatory reporting process among the different jurisdictions...
, and participant progress. o Oversee the maintenance of program records in compliance with organizational and regulatory standards... policies. This role plays a vital role in ensuring the smooth operation of our youth-centered programs and services. It...
), and compliance with reporting requirements. Establish and enforce internal controls over financial reporting and resolve audit...+ years of finance leadership, including audit oversight, reporting, and compliance in a complex, multi-entity...
and liaison between internal (Front Office Trading, global Middle Office and Back Office teams, Compliance, IT, Market Activity... reporting via TRAQS ensuring all corporate bond, securitized and US Treasury trades match within the required regulatory...
Trading, global Middle Office and Back Office teams, Compliance, IT, Market Activity Monitoring, Project Management... - Comply with all applicable legal, regulatory and internal Compliance requirements, including, but not limited to, the Local...
and liaison between internal (Front Office Trading, global Middle Office and Back Office teams, Compliance, IT, Market Activity... reporting via TRAQS ensuring all corporate bond, securitized and US Treasury trades match within the required regulatory...
for accounting, financial reporting, tax, policy and controls, cash operations, corporate finance data and systems management as well... intellectual curiosity to ensure the timely and efficient reporting of results. We not only perform the required activities...