- City of New York (New York, NY)
- … include: - Plan and oversee internal audits to assess financial, operational, and compliance risks. - Develop and implement audit programs and annual audit ... plans based on risk assessments. - Lead the audit and compliance team, providing guidance, training, and quality control over audit work. - Review internal… more
- Wells Fargo (New York, NY)
- …experience in a regulatory environment experience + Experience in a financial services, audit , compliance or regulatory organization + Knowledge of US Market ... **About this role:** Wells Fargo is seeking a **Lead Compliance Officer** in Corporate Risk as part **Trade Surveillance Oversight** Team. This role will be… more
- KeyBank (Amherst, NY)
- …**Required Qualifications** + Education/Background: Bachelor's degree. + Minimum 6 years of compliance , risk management, and/or audit experience with a strong ... relevant professional and/or industry sponsored certifications in risk management, internal audit , and/or compliance (eg - Certified Information Systems Auditor… more
- MTA (Jamaica, NY)
- …extensions to implementing recommendations, as needed + Represent the Agency Chief Compliance Officer at MTA Audit Committee meetings to address questions ... an accredited college + A minimum of 8 years' experience in Compliance , Audit , Legal, Human Resources, Organizational Development, or a related field, including… more
- TD Bank (New York, NY)
- …of Business:** Audit **Job Description:** The **Senior Audito** **r - US** ** Compliance Audit ** is responsible for executing and leading audit ... and sufficiency of systems, processes, and oversight to support regulatory compliance . This role supports audit engagements through evaluating, documenting,… more
- Capital One (New York, NY)
- …Compliance (FCC) Audit team. As a member of the Financial Crimes Compliance Audit team, you will focus on engagements involving BSA/AML, Sanctions, and ... Principal Auditor (Experienced Senior Auditor), Financial Crimes Compliance Capital One's Audit function is a dedicated group of professionals focused on… more
- WMCHealth (Valhalla, NY)
- … Compliance Committee and other governance forums. + Assist in preparing comprehensive compliance and ethics reports for the Board Audit and Compliance ... and OIG framework benchmarks. + Drive continuous improvement initiatives across the compliance network, leveraging data analytics, audit outcomes, and lessons… more
- Weill Cornell Medical College (New York, NY)
- …root causes of documentation and coding deficiencies. + Manage and track Compliance Audit Reports and Management Action Plans, ensuring timely follow-up ... Manager plays a critical role in aligning education and audit strategies to support the compliance framework....education and audit strategies to support the compliance framework. This role is responsible for designing, managing,… more
- TD Bank (New York, NY)
- …a team of enthusiastic colleagues dedicated to setting new industry standards. US Compliance Audit and Exam Management oversees internal audits and regulatory ... judgment regarding responsiveness and appropriateness. In this position, the Senior Compliance Audit and Exam Manager will lead the team responsible for ongoing… more
- SMBC (New York, NY)
- …or new regulatory requirements. + Supports interactions with regulators and Internal Audit during compliance -related examinations / audits related to coverage ... portfolio of benefits to its employees. **Role Description** The Compliance group within SMBC Nikko Securities Inc. serves as...responsible for overseeing the management of the broker dealer's compliance risk and is represented by the Chief … more