- NatWest Markets (Stamford, CT)
- Senior Monitoring and Testing Compliance Assurance Officer - Swap Dealer Stamford,United States Permanent Full Time \#R-00244248 Share: ... proper operations of the department and the business._ Senior Monitoring and Testing Compliance Assurance Officer reportingto the US General Counsel and… more
- SMBC (New York, NY)
- …and ensuring they are appropriately managed and mitigated. + Monitoring and Testing : Oversee the Compliance Monitoring and Testing Program, ... Corporate Compliance . This role is tasked with leading three key functions: Compliance Risk Assessment, Monitoring and Testing , and Regulatory Change… more
- City of New York (New York, NY)
- …for requesting and testing expenditures, supporting documents and track monitoring and compliance issues from identification to resolution. - Design ... Job Title: One (1) Assistant Analyst / Analyst / Senior Analyst Control Code: BAW-25-05 Summary: The Mayor's Office...implement compliance strategies. - Assist in planning compliance monitoring reviews and set up management… more
- Citigroup (Jersey City, NJ)
- Serves as a senior compliance risk analyst for Independent Compliance Risk Management (ICRM)'s Compliance Testing team responsible for assessing ... Plan. + Performs compliance controls testing , transactional testing , or compliance controls monitoring activities based on the pre-defined testing… more
- TD Bank (New York, NY)
- …process for development of department monitoring plan and participates in routine monitoring plan meetings. The Senior Compliance Group Manager supports ... **Line of Business:** Compliance **Job Description:** **Department Overview:** The Senior Compliance Group Manager - Collections will have compliance… more
- Citigroup (New York, NY)
- …a manner consistent with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors, providing day-to-day Compliance ... Serves as a senior product compliance risk officer for...on swaps regulations on a real-time basis to manage compliance risk. + Overseeing the monitoring and… more
- MTA (New York, NY)
- …Office of the Chief Counsel Date Posted: Nov 7, 2024 Description JOB TITLE: Senior Compliance Manager SALARY RANGE: $97,000 ‐ $109,000 HAY POINTS: 634 DEPT/DIV: ... after their effective date of hire. * SUMMARY: The Senior Compliance Manager is responsible for assisting...development of new policies, review of existing policies, and monitoring policy compliance . Lend technical support with… more
- Capital One (New York, NY)
- …reflect actual practice and address regulatory requirements + Assist in designing second line compliance monitoring and testing + Advise CBD business leaders ... 299 Park Avenue (22957), United States of America, New York, New York Compliance Advisor Senior Manager The Compliance Advisor Senior Manager will report… more
- Scotiabank (New York, NY)
- …escalate compliance issues and execute action plans for Internal Audit and Compliance Testing findings assigned to Compliance to adequately address ... Senior Manager, Markets Compliance Officer **Requisition...and evaluate the impact of controls to address ongoing compliance . + Participate in the review of monitoring… more
- Scotiabank (New York, NY)
- …training materials, and giving presentations. + Manage and respond to Audit, Compliance Testing , and regulatory examination findings and self-identified issues ... Senior Manager, Head of Volcker Compliance ...ensure content is consistent with Volcker classifications. + Conduct monitoring for Volcker breaches and ensure valid breaches are… more
- Scotiabank (New York, NY)
- Senior Audit Manager, Compliance Audit (Non-AML) **Requisition ID:** 209949 **Salary Range:** 110,700.00 - 211,800.00 _Please note that the Salary Range shown is ... work together to drive ambition for every future! **Purpose** Seeking a detail-oriented Senior Audit Manager who is seasoned Compliance Auditor with significant… more
- SMBC (Jersey City, NJ)
- …a central BCO function responsible for overall development and execution of 1st line control testing and monitoring program. The BCO Control Testing and ... role will provide support in establishment of control monitoring routines and conduct control testing to...Markets and Sales and Trading risk areas to ensure compliance with internal policies and applicable rules, laws and… more
- M&T Bank (New York, NY)
- …of the CRM Program and related initiatives: Requirements & Standards Documentation, Compliance Monitoring Activities, Compliance Control Management, ... design a plan for timely and effective resolution of complex issues identified through monitoring and testing . + May interact with State and Federal Regulatory… more
- Mizuho Corporate Bank (New York, NY)
- Join the Mizuho team in Cyber Defense, Monitoring & Incident Management! Major Duties & Responsibilities: In this role you will report to the Head of Cyber Defense, ... (MAS). You will be responsible for managing the broader Monitoring & Incident Management activities and their various responsibilities....IT departments to address the event and escalating to senior members of the team as necessary. + Operational… more
- Citigroup (New York, NY)
- …an execution-oriented individual contributor position accountable for end-to-end controls monitoring - ie, operational controls performance assurance/ testing - ... results reporting, and insight sharing related to the above scope of controls monitoring / testing . The Wealth Client Segments Control Testing Leader is… more
- Atlas (New York, NY)
- **Position** : Senior Program/Project Manager **Location** : New York, NY Atlas is a nationwide leader in civil engineering, materials testing and geotechnical ... We are a great company. Come join us! We are seeking a ** Senior Program/Project Manager capable of leading Major Transportation Construction Management and Quality… more
- Bank of America (New York, NY)
- …+ Written Communications + Issue Management + Monitoring , Surveillance, and Testing + Regulatory Compliance + Technical Documentation + Trading Strategy ... Global Markets Senior Risk Manager New York, New York **Job...Oversees development of market risk coverage plans, execution of monitoring , testing and risk assessments, and market… more
- KPMG (New York, NY)
- … compliance program (for example, performing internal audits or compliance testing reviews, remediating identified deficiencies) preferred; strong involvement ... **Business Title:** Senior Associate, Financial Crimes Analytics **Requisition Number:** 119351...+ Provide support for financial services or financial crimes compliance initiatives at the direction of the national financial… more
- MTA (Jamaica, NY)
- …to: + Plan, manage, coordinate, and evaluate all FRA/LIRR required signal system testing . Maintain test documentation to ensure compliance with FRA (Federal ... Engineer-FRA/LIRR Testing and Inspection Job ID: 9460 Business Unit:...rules and regulations. Direct test procedures to ensure timely compliance in accordance with FRA/LIRR procedures and monitor schedules… more
- City National Bank (New York, NY)
- …for ongoing monitoring , identification and reporting of risk findings to senior management and remedial corrective actions through risk and control testing ... * SENIOR BUSINESS CONTROL MANAGER - CAPITAL MARKETS* WHAT...through 1st, 2nd, 3rd LOD and external regulatory examinations, monitoring and testing . * Analyze findings and… more