- TD Bank (New York, NY)
- …initiatives including global policies and governance. + Assist with regulatory and audit requests. + Provide backup to general AML compliance functions ... lines within the TDS space. + Participate in the annual enterprise-wide AML /BSA/Sanctions/ABAC risk assessment process, as required. + Conduct targeted AML /OFAC… more
- TD Bank (New York, NY)
- …contact for all auditors and examiners including the OCC, State Regulators, TD Internal Audit and Compliance groups including Global AML , TRMIS and CCR + Assists ... of Business:** Governance & Control **Job Description:** The Business Control Senior Manager coordinates all audits and examinations at TDAF by internal and external… more
- Fujifilm (Albany, NY)
- **Position Overview** The Regulatory Compliance Manager (Corporate) is a member of the FUJIFILM Holdings America Corporation ("HLUS") Department reporting to the ... Corporate Compliance Director. The Compliance Manager will be responsible for managing the day-to-day operations of the company's compliance programs related to laws… more
- Capital One (New York, NY)
- …Crimes Compliance Audit team, you will focus on engagements involving BSA/ AML , Sanctions, and Fraud Compliance related audit projects that provide input ... Principal Auditor (Experienced Senior Auditor), Financial Crimes Compliance Capital One's Audit function is a dedicated group of professionals focused on delivering… more
- Synchrony (New York, NY)
- …model risk management, especially in the regulatory compliance and anti-money laundry ( AML ) model risk area. + Participate and support the Model Risk Working ... at various levels. + Experience supporting regulatory exams and internal audit processes. **Desired Characteristics:** + 5+ years in the financial services… more
- TD Bank (New York, NY)
- …risk level assessment and controls + Compliance or QA/QC testing or audit experience + Working knowledge or familiarity with desktop or web-based applications ... Continuity Management, Outsourcing & Vendor Management, Regulatory Compliance (eg CDIC, AML , Privacy, IDA, CBA, SOX, Basel etc.) + Supports enterprise-wide… more
- Mizuho Corporate Bank (New York, NY)
- Responsibilities: Support direct team manager for all onboarding processes: + Compose KYC packages and perform due diligence on new clients based on risk rating ... is required + Ensure client packages adhere to internal audit requirements through the judgement made from understanding of...efficiency of all documentation required to adhere to both AML and regulatory requirements + Liaise with internal groups… more
- Citigroup (New York, NY)
- …individual banking, credit and investment products. Ensure transactions are completed within audit and compliance standards as well as timely execution. + Be ... procedures. + Review and ensure that transactions comply with AML /KYC (Anti Money Laundering and Know Your Client) policies...to establish overdraft lines & escalate to Service Team Manager . + Maintain Credit Documentation Deficiencies > 60 days… more
- TD Bank (New York, NY)
- …also works with management / control function partners (eg Risk, Legal, Compliance, AML and Audit ) to assess risks, develop and implement proactive strategies, ... (eg 6-12 months) + Generally reports to a Senior Manager or above **Education & Experience:** + Undergraduate degree...have regular career, development, and performance conversations with your manager , as well as access to an online learning… more
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