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Creates an environment in which their team pursues effective and efficient operations of their respective areas, while ensuring the adequacy, adherence to, and effectiveness of day-to-day business controls to meet obligations with respect to operational risk, regulatory compliance risk and conduct risk, including but not limited to responsibilities under the Operational Risk Management Framework, Regulatory Compliance Risk Management Framework and the Scotiabank Code of Conduct.
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The SVP for CCAR Liquidity Review is responsible for ensuring that CCAR results are in line with internal stress testing methodology and regulatory guidance. SVP for CCAR Liquidity Review will lead the liquidity and funding workstream for Citigroup's annual CCAR regulatory submission and subsequent internal quarterly updates.
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Regulatory Operations team is responsible for reporting to external stakeholders in the North America region, including the reporting and monitoring of trade, transaction and position information across a wide range of traded financial products and business lines for the CFTC (Commodity Futures Trading Commission), SEC (Securities and Exchange Commission), and CSA (Canadian Standards Association) obligations.
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That impact all areas of the company, including operations, product management, vendor management, risk management, corporate governance and regulatory compliance. Senior Regulatory Compliance Counsel , you will report directly to Tokio Marine Highland’s Chief of Legal, Risk and Compliance (LRC) and will be a key member of the LRC team.
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Manage CHW recruitment and training, ensuring compliance with NYS Medicaid, OMH, and other regulatory bodies. In-depth knowledge of regulatory requirements related to Medicaid, OMH, and HEDIS measures.
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Position Overview: As the Vice President of Compliance Monitoring & Testing, you will be responsible for ensuring compliance with regulatory requirements and internal policies across the investment bank, Sales & Trading, Broker-dealer, and swap dealer functions.
$160,000 - $185,000 a yearFull-timeExpandApply NowActive JobUpdated 16 days ago - UpvoteDownvoteShare Job
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Financial Acumen: capital markets, accounting and finance, financial modeling, extensive experience with reporting, financial disclosures, quarterly releases, shareholder activism and the regulatory landscape.
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Crowell & Moring LLP is an international law firm with offices in the United States, Europe, MENA, and Asia that represents clients in litigation and arbitration, regulatory and policy, intellectual property, and transactional and corporate matters.
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Collaborate with cross-functional teams (process R&D, analytical development, supply chain, quality, clinical, regulatory, DMPK, and tox) to meet CMC and program goals. Extensive experience in late-phase drug product development and commercial development with CMC regulatory filings for the US (NDA), Europe (MAA), Japan, and China.
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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.
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Knowledge of relevant regulatory compliance requirements, preferably relating to regulated financial institutions and / or consumer products and AML/ Anti-Corruption/BSA. We create and maintain the overall risk management framework while ensuring legal and regulatory compliance.
$38.45 - $87 an hourFull-timeExpandApply NowActive JobUpdated 30 days ago - UpvoteDownvoteShare Job
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Actively pursues effective and efficient operations of his/her respective areas, while ensuring the adequacy, adherence to and effectiveness of day-to-day business controls to meet obligations with respect to operational risk, regulatory compliance risk, AML/ATF risk and conduct risk, including but not limited to responsibilities under the Operational Risk Management Framework, Regulatory Compliance Risk Management Framework, AML/ATF Global Handbook and the Guidelines for Business Conduct.
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The US GRPA team is responsible for monitoring new developments impacting the US prudential regulatory capital regime, as administered by the US Agencies - the Federal Reserve, OCC, and FDIC; GRPA ensures timely notification of new policy changes that impact calculations of RWAs, the leverage ratio, Liquidity ratios, and capital resources, as well as any related regulatory reporting impacts, and in the case of new prudential capital rules such as FRTB, provides end-to-end policy support to facilitate implementation.
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Analysing and resolving (or, where appropriate, facilitating resolution of) professional, legal, regulatory and commercial issues relating to business acceptance and client engagement in the areas of financial crime and sanctions, which are referred by the BAU analyst and legal teams, by partners and by all other levels of lawyer and support staff, including in the following areas:anti-money laundering client ID issues;reputational and suitability issues; andsanctions questions.
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Specifically, knowledge of trading and hedging strategies, supervisory procedures, P&L attribution, risk management, operational processes and regulatory landscape. Required Skills: Experience in validation of audit and regulatory issues.
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regulatory job Title: sr director Company: Planet Pharma in Corona, NY
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