- TD Bank (New York, NY)
- …on TDS Compliance Initiatives in accordance with the TD Global Compliance Department Mandate and the Regulatory Compliance Management Program + ... and implementation of stakeholder engagement plans, programs and projects to support TDS regulatory Compliance objectives + Works closely with the Regulatory … more
- Citigroup (New York, NY)
- …Regulatory Reporting and Client Tax Operations team within the Wealth division. The Head of NAM Regulatory Reporting and Client Tax Operations will be ... responsible for overseeing the end-to-end regulatory reporting and tax compliance processes, ensuring...and Client Tax Operations, ensuring alignment with the global compliance and risk management framework. Lead initiatives … more
- Guardian Life (Holmdel, NJ)
- …compliance (EEO, FMLA, FLSA, ADA, OSHA, etc.) and HR and Payroll (HR) regulatory matters. + Lead initiatives to educate employees, managers, and executives on ... external regulatory inquiries, audits, and investigations relating to HR compliance . + Lead investigations into potential HR compliance violations, providing… more
- SMBC (New York, NY)
- …SMBC offers a competitive portfolio of benefits to its employees. **Role Description** The Head of Compliance Culture will oversee and lead the firm's Culture of ... to drive alignment and ensure informed decision-making. + Stay current with regulatory expectations related to compliance culture and industry developments, to… more
- Citigroup (New York, NY)
- …Operating Office (T&BE COO) drives a strong focus on risk and controls, compliance and value across T&BE organization and oversees Controls, Analytics and Decision ... Management, Quality Assurance, Regulatory Management, Data and Transformation for Technology, as well... commitments across T&BE globally. The Data Quality Assurance Head is a newly created role and will be… more
- Citigroup (New York, NY)
- The Global Head of Wholesale Credit Risk Reporting will oversee the production of key management and regulatory reports for Wholesale Credit Globally. This role ... reports to the Head of Data Analytics Reporting and Tech (DART) and...critical impact or influence on key reporting and data initiatives in the Risk organization. **Key Responsibilities** . Lead… more
- Bristol Myers Squibb (Princeton, NJ)
- …labels for marketed products). Compliance : Ensures MRSPs meet/exceed expectations for compliance , quality, regulatory and safety initiatives . Leads all ... the TA in order to protect patients, BMS products, and BMS regulatory compliance . **Position Responsibilities** Strategic: Drives continuous improvement and… more
- Citigroup (New York, NY)
- …be to: + Deliver an effective control framework that fully meets Audit, Compliance and Regulatory requirements. + Accountable for integrity of operational ... stakeholders including Front Office Sales and Trading Desks, Banking Deal teams, Compliance , Legal, Finance and HR; alongside having significant interaction with our… more
- S&P Global (New York, NY)
- …with infrastructure teams to manage AWS environments effectively. + Lead technology audit compliance efforts in line with regulatory requirements. + Stay current ... **About the Role:** **Grade Level (for internal use):** 14 ** Head of Software Engineering: Data Platforms** The Head of Software Engineering: Data Platforms is… more
- Citigroup (New York, NY)
- …issues and operational risk events. This position will report directly to the Head of Services Controls and Regulatory Management. **Key Responsibilities** + ... The Services In-Business Operational Risk and Resiliency Head is a first line of defence specialist...of global policies and impact of local legal and regulatory requirements. + Maintain oversight over emerging and existing… more
- Raymond James Financial, Inc. (New York, NY)
- …contact with senior executives and some with external auditors and regulatory authorities. **Essential Duties and Responsibilities** * Develop and implement risk ... risk inventory. * Prepares appropriate RJF Risk Committee, Executive Committee, and regulatory reports. * Works across all levels of the organization (1 st… more
- BlackRock (New York, NY)
- …team is responsible for leading Global Trading's strategic response to commercial, regulatory and technology driven changes in capital markets. The team engages ... provide thought leadership, shape market structure, and represent BlackRock's views on regulatory issues which affect trading. The team's remit also spans the… more
- Citigroup (New York, NY)
- …ensuring the proper application of policies and institutional processes + Ensures compliance with regulatory requirements and Citi's policies / guidelines at ... while structuring deals that balance risk and reward. + Execution of strategic initiatives launched centrally at all levels (Group, Bank, Commercial Bank) + Oversee… more
- S&P Global (New York, NY)
- …This commercial position is part of S&P Global Market Intelligence's Regulatory Compliance Division. Reporting to the Commercial Head of Documentation and ... that span client reference data collection and management, client lifecycle management, regulatory compliance , and document management. + ** Regulatory … more
- Wellington (New York, NY)
- …our perspectives with those of our clients. **About the Role** The Senior Regulatory Compliance Analyst will support Wellington Management's compliance ... responsibility of this role will be assessing the firm's compliance infrastructure against these growth initiatives and...and Risk Group and will report to the Chief Compliance Officer, Americas/Global Head of Funds … more
- Scotiabank (New York, NY)
- …broker-dealers, and assist in successfully executing banking and broker-dealer-related audits, regulatory matters, and strategic initiatives . + Lead and assist ... mix of securities, loans, and derivatives. + A thorough understanding of financial/ regulatory and compliance policies and procedures + Possess an adequate… more
- World Insurance Associates, LLC. (Iselin, NJ)
- …will grow your skill set. Responsibilities + Assist the Head of Compliance /Deputy General Counsel on company regulatory , compliance and operational ... responses and oversee audits and inquiries + Assist World with developing regulatory compliance checklists and workflows for licensing, surplus lines, fee… more
- Morgan Stanley (New York, NY)
- …include: -Provide implementation program management and leadership to key regulatory programs/ initiatives -Engage with Business Unit embedded programs ... of our culture. Department Profile Professionals within Legal and Compliance provide a wide range of services to our...and path to resolution -Provide overall support to Global Head of Regulatory Affairs -Manage/oversee contingent resources… more
- CIBC (New York, NY)
- …designed to evaluate the design and effectiveness of business controls in meeting regulatory compliance . Key areas of coverage for the Role includes but ... Regular **Weekly Hours** 40 **Skills** Quality Assurance Review, Quality Investigations, Regulatory Compliance , Regulatory Requirements, Risk Assessments,… more
- Bristol Myers Squibb (Princeton, NJ)
- …lives. Read more: careers.bms.com/working-with-us . Position S ummary : Reporting to the Head of US and Above Market Compliance and Ethics Organization, this ... leaders across Legal, Commercial, Medical, R&D, Global Drug Development, Regulatory , IT, Audit, Finance and HR to build and... compliance -related activities as directed by the Global Compliance & Ethics team and/or the Head … more