- TD Bank (New York, NY)
- …This Senior Compliance Officer is a key member of the TDS US Compliance Monitoring and Testing Team and Core Compliance Group. The ... Compliance program as needed. **Depth & Scope:** Compliance Monitoring and Testing +...judgment and ability to closely partner with and advise senior and line managers and other stakeholders on regulatory… more
- TD Bank (New York, NY)
- …and assists in implementing compliance initiatives to help manage regulatory risk. Compliance Monitoring and Testing + Assist with developing and ... more specific details for this role. **Job Description:** The Senior Compliance Office provides advice, guidance and...stakeholders globally + Assist in identifying areas for enhanced Monitoring , Testing or training Core Compliance… more
- TD Bank (New York, NY)
- …will manage ongoing Compliance risk coverage planning that will support the Compliance Monitoring & Testing (M&T) program. Additionally, this role will ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $140,000 - $185,000 USD TD is...+ Support the development and maintenance of the Firm's Monitoring and Testing Coverage Plan, which includes… more
- TD Bank (New York, NY)
- …Program, including:** + ** Compliance -wide frameworks, guidelines and standards for testing , monitoring , risk assessment, reporting and other activities** + ... Compliance Operations and Governance coordinates with the Bank's Compliance Units, Compliance Testing , and...coverage, and creates standards and procedures for the US Compliance Monitoring Program.** **In this position, the… more
- Grant Thornton (New York, NY)
- …financial institutions of various types and sizes + Practical work experience involving compliance testing / monitoring , compliance audits, compliance ... As a Regulatory Compliance Risk Senior Associate (Banking/Financial Services),...activities for Consent Order Validation, Issue Management, and independent monitoring engagements, responsible for execution of testing … more
- BMO Financial Group (New York, NY)
- …training needs and helps develop training based on gaps identified through the compliance monitoring and testing . + Identify enhancements to business ... Fixed Income compliance program. Coordinate and performs risk assessment, monitoring , testing and surveillance activities to ensure program remains current… more
- TD Bank (New York, NY)
- …in the inspection process and track issues to closure. + Assist the Compliance Testing Team, as needed, on monitoring and testing engagements. + Work ... details for this role. **Job Description:** **Preferred Qualifications:** This Senior Compliance Officer is a key member...a registered US broker dealer or regulator, Branch Inspections testing experience is a plus. + Strong Knowledge of… more
- TD Bank (New York, NY)
- …along with the ability to handle multiple assignments at the same time. The Senior Compliance Office provides advice, guidance and support to business units in ... Issues book of work and statuses to a variety of audiences (including senior management), coordination with other Compliance workstreams to integrate Issues… more
- TD Bank (New York, NY)
- …(COF) including:** + ** Compliance -wide frameworks, guidelines and standards for testing , monitoring , risk assessment, reporting and other activities;** + ... who support the lending activities of Wealth Banking.** **Job Summary:** The Senior Compliance Business Oversight Manager provides advice, support and objective… 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
- Bloomberg (New York, NY)
- …Head of Employee Compliance .** **What's the Role?** **We are seeking a Compliance Officer with deep E-Comms Surveillance & Monitoring experience. You will be ... else. It's up to you to make it happen.** **Bloomberg's Legal & Compliance Department plays a critical role in supporting our businesses and operations around… 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
- Raymond James Financial, Inc. (New York, NY)
- …Contributes to the design, implementation and execution of a comprehensive risk-based monitoring and testing program across all applicable policies and ... through education, experience, specialized training and/or certification in securities industry compliance to support the design, implementation and supervision of a… more
- Citigroup (New York, NY)
- …Stress Testing function within Global Market Risk as a senior individual contributor with the following responsibilities. **Responsibilities:** + Risk Management ... long-term basis for various financial products. Market risk stress testing pertains to potential loss due to market movements... monitoring process associated with Material Market Risks monitoring + Summarize detailed analysis for senior … more
- Deloitte (New York, NY)
- …professionals across project teams + Designing, reviewing, enhancing, implementing, and monitoring AML and sanctions compliance programs for clients subject ... Anti Money Laundering (AML) Senior Consultant The Opportunity Do you have a...+ Experience in managing a team of professional AML/OFAC compliance practitioners + Proficiency in using AML Monitoring… more
- City National Bank (New York, NY)
- …this colleague is responsible for carrying out regulatory/ compliance issuance monitoring , risk assessments, and internal controls testing ensuring that there ... *FINANCIAL CRIMES ANALYST SENIOR I* WHAT IS THE OPPORTUNITY? Under the...will do * Carries out regulatory/ compliance issuances monitoring , risk assessments, and internal controls testing … more
- Citigroup (New York, NY)
- …communication skills required in order to negotiate internally, often at a senior level. Developed communication and diplomacy skills are required in order to ... business to make rapid decisions against market condition changes + Ensures the compliance of development and validation of models with respect to internal and… more
- New York State Civil Service (New York, NY)
- …environmental issues and other non-traditional projects), including ensuring compliance with contract provisions, contract administration and monitoring ... HELP No Agency DASNY - Dormitory Authority of the State of New York Title Senior Field Representative - NYC - 5 Boroughs and Long Island Occupational Category Other… more
- City of New York (New York, NY)
- …ROLE ITD's GeoSupport Services (GSS) unit is seeking an experienced and certified Senior Database Developer for Microsoft SQL Server who has strong expertise in data ... direction, with considerable latitude for the exercise of independent judgment, the Senior Database Developer's responsibilities include, but may not be limited to:… more
- MetLife (New York, NY)
- …while advocating for risk management and internal controls. We are looking for a Senior Auditor who would be excited to join a dynamic and highly collaborative team. ... The Senior Auditor is responsible for performing audits of financial, operational, and compliance risk management as well as legal management processes. The… more