- Santander US (New York, NY)
- …ED New York, United States of America USA Job Function Description: The ED, Regulatory Examination Management Compliance Manager follows industry ... will be responsible for managing the program and other Regulatory Examination Management Compliance employee(s). Essential Functions/Responsibility… more
- CIBC (New York, NY)
- …risk management experience. + Comprehensive knowledge of federally recognized examination procedures to evaluate compliance with related laws and regulations ... & Wealth franchises. Reporting to the Head of US Compliance Examination Program, the Compliance ...the design and effectiveness of business controls in meeting regulatory compliance . Key areas of coverage for… more
- CIBC (New York, NY)
- …coordination of RCM activities, and ensuring alignment with industry standards and the Bank's Regulatory Compliance Management Policy. At CIBC we enable the ... findings and examination reports issued by the Compliance Examination team, and supporting SDC to...within CGRA. **Who You Are:** + Extensive experience of regulatory compliance management activities such… more
- Citigroup (New York, NY)
- …Technology organization globally, to act as the coordination point assisting with regulatory examination management and ongoing supervisory activities. The ... Management + Assist in driving the Technology regulatory examination process as a lead or... management in order to meet Citi's legal, regulatory and compliance requirements + Oversee … more
- JPMorgan Chase (New York, NY)
- …risk management , cybersecurity, or a related field, with a focus on regulatory compliance and risk mitigation + Experience working with senior management ... and compliance , balancing progressive digital transformation with robust risk management . Your leadership will be instrumental in navigating the complexities of… more
- TD Bank (New York, NY)
- …and remediation related to those findings. + Prepare substantive written responses to regulatory requests and examination reports, and work with the relevant ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $115,000 - $190,000 USD TD is...to internal reporting and tracking related to examinations and regulatory findings. + Execute issues management process… more
- Citigroup (New York, NY)
- …accountability for the business and key stakeholders from the regulatory examination planning period through formal management response to regulatory ... examination findings/issues, decisions, roadblocks, or delivery concerns to management . + Understand regulatory frameworks and key...+ 10+ years of business experience in audit, control, compliance or regulatory management in… more
- M&T Bank (Buffalo, NY)
- …requirements, including certifications. **Primary Responsibilities:** + Coordinate correspondence with regulatory agencies, examination management and ... associated products and services (and related internal personnel network). Direct regulatory compliance experience. Project management and advanced… more
- M&T Bank (Buffalo, NY)
- …associated products and services (and related internal personnel network). Direct regulatory compliance experience. Project management and advanced ... are aware of these practices before and during their supervisory exams and regulatory compliance activities. + Demonstrate an understanding of applicable … more
- New York State Civil Service (Albany, NY)
- …governance, compliance , and internal audit controls; BSA/AML program; operational, regulatory and legal risks and controls; risk management program; ... etc; and presents recommendations for supervisory actions* Meets with Licensees' management to get periodic business updates, discuss examination scope,… more
- Federal Reserve Bank (New York, NY)
- …safety and soundness of supervised institutions + Ensure supervised institutions' compliance with relevant laws and regulations, including consumer protection + ... examinations and monitoring activities including those related to liquidity risk, capital management , credit risk, market risk and associated business lines, data … more
- New York State Civil Service (New York, NY)
- …to become informed of specific problem areas, overall financial condition, management of institution(s) and to plan examination ;* Prepares comprehensive ... summaries of reviews done in support of applications, supervision and examination materials for management ;* Discusses findings with senior staff and revises… more
- Bank of America (New York, NY)
- …work. **Skills:** + Advisory + Monitoring, Surveillance, and Testing + Regulatory Compliance + Reporting + Risk Management + Critical Thinking + Influence + ... + Minimum of seven years of relevant experience + May require regulatory examination /registration or certification, depending on jurisdiction and role +… more
- Scotiabank (New York, NY)
- …policies and procedures, to the businesses. + Communicate with sales and trading management and US Compliance personnel on relevant compliance issues, ... to regulatory enforcement investigations. + Conduct assigned monitoring and compliance processes in accordance with written compliance procedures and… more
- New York State Civil Service (Albany, NY)
- …Controls on the status of policy and procedure development, implementation and compliance ;* Provides guidance to management in the development of Policies ... to internal policies and procedures related to the application, monitoring and examination of DFS-regulated Virtual Currency entities, for compliance with… more
- Equitable (Syracuse, NY)
- Regional Compliance Manager ( 240000P6 ) **Primary Location** : UNITED STATES-NY-Syracuse **Other Locations** : UNITED STATES-NY-Williamsville, UNITED ... that will help unlock your potential? This role is responsible for providing compliance support to Equitable' s branch locations both regionally and locally. This… more
- New York State Civil Service (Albany, NY)
- …Section:* Administers the daily functions and supervision of the field examination unit that conducts examinations of property casualty insurers with respect ... and reviews progress on ongoing financial examinations;* Establishes and modifies examination priorities and ensures that they are communicated to and supported… more
- City of New York (New York, NY)
- …record keeping, emergency action plan review, Tier 2 reporting, and risk management programs, among other regulatory program responsibilities. g) Managing ... pass the next Admin. Public Health Sanitarian civil service examination and be given a list number by the...appropriate level feedback regarding BWT's efforts at meeting its compliance obligations and management system initiatives. m)… more
- New York State Civil Service (Albany, NY)
- …governance, compliance , and internal audit controls; BSA/AML program; operational, regulatory , and legal risks and controls; risk management program; ... and presents written recommendations for supervisory actions;* Meets with Licensees' management to get periodic business updates, discuss examination scope,… more
- City of New York (New York, NY)
- …direct land application. The Petroleum Bulk Storage/Chemical Bulk Storage (PBS/CBS) Section ensures regulatory compliance of BWT's 300 PBS and CBS tanks through ... maintain instrumentation and control systems critical for BWT operations and compliance with regulatory mandates. The Section maintenance responsibilities… more