as the key relationship manager with senior business leaders, providing advisory support on complex regulatory and conflicts... expertise, and collaboration with senior business and compliance leaders. Primary Responsibilities · Provide senior level...
activities. The role requires strategic leadership, regulatory expertise, and collaboration with senior business and compliance... leaders. Primary Responsibilities · Provide senior level regulatory advice and guidance on all aspects of control room...
firm's CRA process is appropriately executed and reports are available to Senior Management within the Bank and Broker... Compliance, Risk or Internal Audit experience within a Corporate Bank environment; Knowledge of Broker/Dealer FINRA/SEC rules...
firm's CRA process is appropriately executed and reports are available to Senior Management within the Bank and Broker... Compliance, Risk or Internal Audit experience within a Corporate Bank environment; Knowledge of Broker/Dealer FINRA/SEC rules...
activities. The role requires strategic leadership, regulatory expertise, and collaboration with senior business and compliance... leaders. Primary Responsibilities · Provide senior level regulatory advice and guidance on all aspects of control room...
This role will play a pivotal part in managing the day-to-day operations of the tax function and will support senior... asset manager, and the tax group operates under the direction of the Chief Financial Officer. This team is responsible...
Application Deadline: 08/04/2025 Address: 151 W 42nd Street Job Family Group: Audit, Risk & Compliance Deep... to senior leaders on strategy and new initiatives, based on an in-depth understanding of the business/group. Acts as a subject...
by ensuring accurate, timely completion & insightful external & internal reporting and presentation to various senior management... controls and liaison & coordination of PBCs & audit workpapers & queries Oversight of GAAP, STAT, TAX & other accounting basis...
Position Summary Guggenheim Investments seeks a candidate to join the Loan Agency team. Reporting to the Senior... annual external AT-C 205 audit including data pulls, control walkthroughs, and gathering of documented evidence of control...
manager with broad-based experience in compliance, internal and external audit, financial reporting and programmatic fiscal... agency's operating and capital budget. BFS oversees the Budget, Payment Services, Claiming and Revenue Accounting and Audit...
that any audit findings are appropriately responded to and remediated Works with Market Manager and Senior Risk Officer to monitor... with customer complaints and litigation Together with the Market Manager and Senior Risk Officer, ensures appropriate supervisory...
Chief Compliance Officer, the Executive Committee and Senior Management Track and monitor issues identified from the... of action closure and prepare the action plan validation memo for Testing Unit Manager's review and approval Carry out...
results to stakeholders which may include the Chief Compliance Officer, the Executive Committee and Senior Management Track... by the due date Perform validation of action closure and prepare the action plan validation memo for Testing Unit Manager...
Chief Compliance Officer, the Executive Committee and Senior Management Track and monitor issues identified from the... of action closure and prepare the action plan validation memo for Testing Unit Manager's review and approval Carry out...