- TD Bank (New York, NY)
- …US Compliance, we're on a mission to build a more resilient and scalable compliance risk management function. As part of our team, you'll play a key role in ... structure that aligns with the bank's size, complexity, and risk profile. In this role, you'll need to be...response to periodic examinations by regulatory agencies and internal audit , ad-hoc requests related to the CRA LR, business… more
- TD Bank (New York, NY)
- …Director-level candidate to lead the Surveillance Data Quality Team. This is a global role, the incumbent will work with the Trade and Communications Surveillance ... Officer (CDO), Data and Delivery Initiatives (DDI) team, Compliance Technology, First-Line Risk and Control, and Front Office Technology to deliver a Surveillance… more
- Axis (New York, NY)
- This is your opportunity to join AXIS Capital - a trusted global provider of specialty lines insurance and reinsurance. We stand apart for our outstanding client ... service, intelligent risk taking and superior risk adjusted returns...and timely claim reserves and make referrals to Claim Manager where necessary Managing the lifecycle of a claim… more
- Wellington (New York, NY)
- …comprehensive investment management capabilities that span nearly all segments of the global capital markets. Our investment solutions, tailored to the unique return ... and risk objectives of institutional clients in more than 60...Role** The Senior Compliance Analyst will support Wellington Management's Global Private Investments Compliance program, focusing on information controls.… more
- TD Bank (New York, NY)
- …commitments based on timelines + Documentation of tasks and activities for audit purposes + Communicate the leadership of issues, availability, and task completion ... within the Banking/Financial Services Industry + Experience with Data Risk Management, Data Quality, Data Risk Identification...We Are:** TD is one of the world's leading global financial institutions and is the fifth largest bank… more
- TD Bank (New York, NY)
- …+ Experience in Microsoft Office applications including Power BI + Relevant Audit experience is a plus but not required + Financial services/banking experience ... of the organization - identifies and manages risks, and escalates non-standard, high- risk activities as necessary + Conducts internal and external research projects;… more
- TD Bank (New York, NY)
- …regulatory requirements and assisting business units to manage their regulatory risk . **Key Responsibilities:** + Assist in drafting and maintaining comprehensive ... are kept current + Assist in responding to internal and external audit requests + Prepare summaries, presentations, briefing notes, and other required documentation… more
- M&T Bank (Buffalo, NY)
- …overseeing approval process and invoicing. + Adhere to applicable compliance/operational risk controls in accordance with Company or regulatory standards and ... savings and efficiencies. + Exercise usual authority of a manager concerning staffing, performance appraisals, promotions, salary recommendations, performance… more
- RELX INC (New York, NY)
- …and compliance guardrails to contextualize product performance. + Maintain audit -ready documentation for methods, datasets, rater guidance, analyses, and outcomes. ... handoffs. + Report progress and outcomes to the AI Benchmarking Manager and senior stakeholders. Strategic Alignment, Business Engagement & Relationships Facilitate… more
- TD Bank (Bronx, NY)
- …job specific, compliance-related training + Understands, utilizes and follows compliance/ risk and control programs + Ensures ongoing compliance with ... internal/external audit and regulatory requirements. Provides prompt and comprehensive responses...as Bank Secrecy Act and Patriot Act to minimize risk and protect the customer + Accurately processes cash/deposit/withdrawal… more
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