- UpvoteDownvoteShare Job
- Suggest Revision
Minimum of 8 years of experience in the financial services industry, with a focus on banking operations and regulatory compliance. Financial Markets | Financial Markets Operations | Senior Vice President- Financial Markets Front Office Regulatory Compliance & NFR Specialist | NYC.
Full-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
Director, Model Validation for SHUSA Compliance models (Transaction Monitoring, Sanctions Screening, Fraud Risk, etc) will be responsible for leading the independent validation of models used by various Compliance groups in conformance with regulatory guidance on model risk SR- and other regulatory requirements around Compliance models.
Full-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
The IRB Regulatory Consultant will oversee regulatory operations of studies conducted by one or more Disease and Modality Team within Montefiore Einstein Cancer Center, including, internal (investigator-initiated studies), Cooperative group, and industrial protocols (pharmaceutical and biotechnology company studies.
$80,000Full-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
Provide regulatory and Firm compliance policy advice / guidance to Equity Capital Markets, as well as Debt Capital Markets and Syndicate teams, and management on issues related to underwriting and private placements, marketing and selling securities offerings, as well as information barriers and other internal controls and issues typical of a global investment bank.
$211,000 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
Model Risk ERP / EPM Implementation Regulatory Compliance (CCAR, BASEL, FRTB, etc.) The FSI Business Unit has led and managed projects for top-tier, global clients ranging from strategy, target operating model design, regulatory governance and remediation to technology transformation, program & project management, and business analysis.
$132,000 a yearExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
Liaise with existing fund clients to coordinate compliance related due diligence visits and provide ongoing Fund CCO support to clients of ALPS.Assist regulators and consultants by providing requested information necessary to conduct regulatory/compliance reviews and examinations of the funds assigned.
Full-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
Collaborates with the Compliance, Regulatory Affairs, Learning & Organizational Development, Sales, Human Resources and Labor Relations to ensure Sales Department objectives and standards are maintained.
$85,000Full-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
The Firm is seeking a Regulatory Operations/Compliance Analyst or Associate to respond to Electronic Blue Sheet (“EBS”) requests and conduct analysis on trading activity contained in the reports.
Full-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
Actively pursues effective and efficient operations of his/her respective areas while ensuring the adequacy and effectiveness of day-to-day business controls in order to meet operational risk, regulatory compliance risk, AML/ATF risk, and conduct risk obligations.
Full-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
Assist General Counsel with ensuring organizational compliance with contracts and applicable law and regulation, such as lobbying, regulatory and public policy matters and laws relating to charitable solicitations in New York State and nationally.
Full-timeExpandApply NowActive JobUpdated 5 days ago - UpvoteDownvoteShare Job
- Suggest Revision
The SVP, Head of Payment Operations will oversee and lead the Payment Operations department, ensuring the effective and secure processing of electronic payments, compliance with regulatory standards, and continual process improvements.
$180,000 a yearFull-timeExpandApply NowActive JobUpdated Yesterday - UpvoteDownvoteShare Job
- Suggest Revision
The World Wide Operations business includes warehouse operations, Prime Air drone delivery, electric bicycle delivery, workplace and environmental safety, sustainability, and global trade compliance.
$229,000 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
Deputy Director of Ambulatory reports directly to the Regional Director of Operations and the site Associate Medical Director. Implements and facilitates the operations restructuring at the Gotham FQHC sites, as assigned.
$168,000 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
Serve as the subject matter expert (SME) for all bioanalytical activities, review and approve technical documents for bioanalysis (e.g., method validation plans and reports; sample analysis reports), and assess technical capability of bioanalytical vendors to support study protocol implementation and ensure the outsourced bioanalyses are conducted with highest quality and scientific integrity in compliance with the protocol, ICH/GCP/GLP, and applicable regulatory requirements.
Full-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
- Suggest Revision
The Investments Operations team is responsible for supporting all Investments middle office activities, including trade support and settlement, counterparty maintenance, compliance, bank account management, data reconciliations and reporting, and performance and attribution.
Full-timeExpandApply NowActive JobUpdated Today
regulatory operations compliance jobs Title: compliance Company: Smbc in New York
FEATURED BLOG POSTS
2023 Quarterly Review: What’s Happening in Recruitment?
It’s that time again. It’s your quarterly review. Get excited because this is a great time to review some of the amazing accomplishments you and other pros like you have made in recruitment for 2023 thus far! Despite recruitment challenges, things are starting to balance out in the candidate market - partly because of the brilliant ideas and methods being used.
The Roadmap to Get Into Consulting
Consulting is a dynamic and challenging career field that offers many opportunities for people who enjoy problem-solving, strategy, and innovation. Believe it or not, consulting isn't necessarily a senior-level position. You can pursue a career in consulting as a recent graduate or a mid-career professional looking to switch careers. While pursuing a consulting career can be rewarding and fulfilling, it is challenging to break into because it is so competitive.
How To Decorate a Cubicle for Inspiration & Productivity
You know the negative reputation cubicles have – dull, dreary, gray. How can you possibly be expected to sit in one every day and be your naturally productive, enthusiastic, and upbeat self? The answer lies in decorating your cubicle so it sparks creativity and feels welcoming. While this might seem impossible given the bland canvas you have to work with, take heart because it’s totally doable!
How do Employers Verify Education?
At any stage in your professional journey, you may come across an employer or a recruiter who asks to verify your educational credentials. This shouldn’t come as a surprise as 30% of candidates admitted to lying on their resumes, yet 79% of them never get caught. In fact, 85% of employers in the US who conduct background checks find that candidates have lied on their resumes or job applications.
How to Ask for a Higher Starting Salary
Maybe you think you’ve finally found your dream job. Everything about it is perfect, except… the salary. Unfortunately, it just isn’t where you want it to be. So, should you give up and move on? Given all the effort you’ve already invested, it’s probably wise to try and negotiate a better salary before you do.
How to Pass a Personality Test with Flying Colors
Whether you’re applying for your first job or looking to move up the career ladder, personality tests aren’t usually the first thing we think about. But surprisingly, they can have a massive impact on how our future employers perceive us. In fact, a 2017 study by the Society for Human Resource Management (SHRM) has found that 32% of U.S. employers use personality tests when hiring for senior management positions, and 28% use them for middle management positions. Personality tests are also used for hourly workers and contractors, though less frequently.
10 Practical and Effective Strategies to Persuade Anyone of Anything
Learning how to persuade people is like a key that can unlock any door. Acing the interview for the job of your dreams. Getting the best deal on a new car. Closing a sale with a skeptical customer. All of these wins require a level of persuasiveness.