- Citigroup (New York, NY)
- Serves as a senior function/business/product compliance risk officer covering North American Cash Equities Sales and Trading businesses. The role is responsible ... of best-in-class Compliance , programs, policies and practices for Independent Compliance Risk Management (ICRM). Translates ICRM strategy and goals across… more
- American Express (New York, NY)
- …5 years of experience in data governance, risk management, internal controls, audit , or data compliance within the financial services industry + Experience ... Risk , Generative AI, and/or M&A + Experience supporting control integration within risk and compliance workflows + Prior experience in roles involving policy… more
- MTA (New York, NY)
- …and Audit Oversight: Direct the preparation and submission of mandatory compliance reports, including State Agency Environmental Audit (SAEA) reports. Engage ... the agency's mission and strategic priorities. Lead strategic environmental risk analysis to proactively identify and mitigate exposures across...with regulatory agencies to address audit findings and maintain compliance . Monitor regulatory… more
- TD Bank (New York, NY)
- …Experience managing complex regulatory remediation. + Familiarity with regulations and compliance strategies and risk management; possesses and demonstrates ... enhancements. + **Issues Management:** Track and manage Regulatory and Audit Findings related to Global Control Room to ensure...and issues, and to propose practical solutions to mitigate risk , as it relates to compliance Global… more
- American Express (New York, NY)
- …regulatory exam readiness, issue remediation, and corrective action planning + Coordinate with compliance , legal, risk , and audit teams to ensure consistent ... this role?** We are seeking an experienced and strategic Director, Compliance to lead compliance risk identification, management, and mitigation across US… more
- American Express (New York, NY)
- …regulatory exam readiness, issue remediation, and corrective action planning. + Coordinate with compliance , legal, risk , and audit teams to ensure consistent ... effective controls and mitigation strategies. + Support the execution of business-level compliance risk assessments and control self-assessments. + Support… more
- Scotiabank (New York, NY)
- …and efficient testing and reporting experience. **What You'll Bring** + 5-7 years of compliance , audit or regulatory exam support, at least 3 of which should ... provides a full range of investment banking, credit and risk management products and services relevant to the financing...involve testing or audit . + Experience/background in compliance applicable to… more
- Citigroup (Queens, NY)
- …functions as assigned by the Chief Investment Officer (CIO), including reporting requirements on Risk , Compliance , Finance and Audit + Assist in the review ... and the Plan Committees + Conducts portfolio analysis using risk tools and analytical tools + Performs other duties...Assists in providing accurate and timely feedback on all audit requests + Assists with the month-end valuation and… more
- Capital One (New York, NY)
- …line functions doing partner due diligence and partner reviews. The Senior Manager AML Compliance Advisor performs a key risk management role (second line of ... expertise of applicable laws and regulations + Engage in Audit , Regulatory, and other reviews of the AML program...+ At least 6 years of experience in regulatory compliance , risk management or anti-money laundering (AML)… more
- TD Bank (New York, NY)
- …against industry practices. + With Risk , ensure that the Bank operates within the compliance risk appetite and that operational risk from a Compliance ... enhancements. + Issues Management: Track and manage Regulatory and Audit Findings related to surveillance to ensure that such..."tone at the top" in support of a strong risk & compliance culture within Compliance… more