- SMBC (New York, NY)
- …with relevant stakeholders, ensure internal procedures for the governance of issues management , ensuring that all relevant Compliance issues are tracked ... is meeting IAD expectations and timelines and provide consistent messaging to Compliance management . + Ad-hoc special projects as assigned by Compliance… more
- Citigroup (New York, NY)
- …liaison with regulatory examiners, Internal Audit, and external auditors on critical Compliance issues and overseeing the implementation of related remediation. ... Serves as a senior compliance risk manager for Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies, policies,… more
- Citigroup (New York, NY)
- …with applicable AML laws and regulations. **Role** The Global Head of AML Risk Management - Wealth reports to Citi's Chief Compliance Officer (CCO) Anti-Money ... for AML matters relevant to Wealth.** **Set, develop, and implement strategic AML compliance risk management direction for the Wealth group globally including… more
- Capital One (New York, NY)
- …299 Park Avenue (22957), United States of America, New York, New York Audit Director , Financial Crimes Compliance (Hybrid) Capital One's Audit function is a ... candidate will focus on all aspects of financial crimes compliance across the bank. A Director on... Compliance Manager (CRCM) + Experience with consumer compliance , privacy and conduct risk management +… more
- Teva Pharmaceuticals (Parsippany, NJ)
- …a difference, and new people to make a difference with. **The opportunity** The Director Compliance & Ethics, Global R&D and Medical Affairs reports to the ... Director , Compliance & Ethics, Global R&D...are aligned with and supported by regional and local management . The Dir will maintain appropriate independence and objectivity… more
- Citigroup (New York, NY)
- …liaison with regulatory examiners, Internal Audit, and external auditors on critical Compliance issues and oversees the implementation of related remediation. ... Compliance for Citi Retail Services (CRS) is a Director level role, which serves as a senior function/business/product...Finance, other Control Functions, and In-Business Risk to address compliance issues which may impact the assigned… more
- S&P Global (New York, NY)
- …Crimes Compliance areas including internal testing, tracking, and advising on compliance issues , and reporting of information to senior leaders + Experience ... **About the Role:** **Grade Level (for internal use):** 12 ** Director , Global Sanctions & Financial Crimes Compliance ...on the operation and progress of Global Financial Crimes Compliance risk management efforts. + Maintain a… more
- TD Bank (New York, NY)
- …in an advisory capacity. The Director will primarily focus on the management of the firms compliance program supporting all corporate investment banking ... details for this role **Job Description:** **Preferred Qualifications:** We are looking for a Director , US Markets Compliance Advisory to join our team in NYC.… more
- TD Bank (New York, NY)
- …provide you more specific details for this role **Job Description:** The Director Compliance TDS oversees/leads a team(s) of specialists/professionals providing ... functions that conduct testing for continuity and alignment + Apply consistent issues management framework for testing-identified issues + Facilitate… more
- Citizens (New York, NY)
- …JMP Securities, Inc., Citizens institutional broker-dealer, is seeking a highly skilled Compliance Director to lead our advisory and trade surveillance efforts. ... Director of Institutional Equities, Options, and Fixed Income Compliance , you will be responsible for overseeing both advisory...closely with business and supervisory teams to resolve any issues that arise. You will drive the alignment of… more
- TD Bank (New York, NY)
- …+ Support the Firms build out and ongoing support of the Firms Regulatory Compliance Management Framework including Rules mapping, control mapping and ongoing ... the Firm. Such advice will be tailored to resolving issues with consideration to regulatory requirements, regulatory and firm...insights with colleagues globally; + JD a plus The Director Compliance TDS oversees/leads a team(s) of… more
- BMO Financial Group (New York, NY)
- …ensuring adequate management remediation plans and validation. Elevates high profile issues /risk cases to Compliance and business/group management for ... Capital Markets Compliance Team is seeking a Compliance Director with primary accountability for the...+ Analyzes and reports compliance information to Compliance and business/group management . + Advises first… more
- City of New York (New York, NY)
- …efforts with the Agency divisions, other HR Units, and external partners on compliance issues , background checks and medical clearances. Keeping up to date ... The Bureau of Human Resources seeks to hire an Administrative Manager, NM/L-III (Senior Director , Office of Compliance Services). DUTIES WILL INCLUDE BUT NOT BE… more
- Ankura (New York, NY)
- …internal controls, and systems processes; + Prepare compliance reports for Compliance Officer, Senior Management , and/or Board; + Assist clients with ... + Serve as lead contact for Client engagements including delegation of duties and project management ; + Serve as Subject matter Expert in the fields of AML / BSA /… more
- Citigroup (New York, NY)
- …liaison with regulatory examiners, Internal Audit, and external auditors on critical Compliance issues and oversees the implementation of related remediation. ... Technology, Finance, other Control Functions, and In-Business Risk to address compliance issues which may impact the assigned function/business/product. +… more
- Bowery Residents Committee (Manhattan, NY)
- Position Overview Reporting to the CFO, the Director of Audit Compliance performs various aspects of professional internal auditing work. Responsible for ... management instructions, policies and procedures, and regulatory authorities. The Director of Audit Compliance will manage internal and external financial,… more
- Citigroup (Jersey City, NJ)
- Serves as a compliance risk manager for Independent Compliance Risk Management (ICRM)'s Surveillance team responsible for the design, implementation, and ... of Compliance programs + Demonstrated ability to assess complex issues through root cause analysis and other analytical techniques; structure potential… more
- SMBC (New York, NY)
- … team serves as a regulatory advisory function and is responsible for overseeing the management of the broker dealer's compliance risk, and is represented by the ... or observer of various committees such as the New Product, Underwriting, Risk Management , Compliance , and Training committees. The Senior Compliance Officer… more
- CIBC (New York, NY)
- …to ensure compliance ; 4) taking reasonable steps to ensure noncompliance issues are effectively communicated to both senior management and regulatory staff ... regulatory requirement group topics to determine risk ratings under CIBC's Regulatory Compliance Management framework; + Performing investigations of US Capital… more
- The Mount Sinai Health System (New York, NY)
- …1. **Duties and Responsibilities** (in order of importance and/or frequency) 1. Management of hazardous waste operations, including compliance oversight and ... appropriate storage measures, staff training and documentation. 4. Responsible for management of the Chemical Shipment Program, ensuring compliance with… more