- S&P Global (NY)
- …Information Security, Digital Technology Services, and Corporate Platforms, as well as with Enterprise Risk and Compliance and Audit . + Lead efforts in ... **Responsibilities and Impact:** This role reports to the Head of Technology Risk and Governance in the Global Digital Technology Organization. The Head of… more
- CIBC (New York, NY)
- …to address existing and new regulatory requirements; + Coordinating US regulatory exams, compliance exams and audits by Internal Audit ; + Assisting in the ... risk assessments of US regulatory requirement group topics to determine risk ratings under CIBC's Regulatory Compliance Management framework; + Assist in… more
- City of New York (New York, NY)
- …Aging seeks a highly motivated Senior manager with broad-based experience in compliance , internal and external audit , financial reporting and programmatic fiscal ... processes to serve as Chief Compliance Officer. The selected candidate for this position will...regulating agencies and government authorities, as it pertains to Audit and Risk Management. - Coordinate NYC… more
- Regeneron Pharmaceuticals (Troy, NY)
- …Board meetings and ensure all actions / decisions are detailed appropriately + Supplier Audit Compliance - Drives successful audit closures by focusing on ... The Director, Global Procurement Compliance will be responsible for directing a team...the Approved Supplier List (ASL), deviation investigations, CAPAs, supplier audit closures and evidence follow up, support of regulatory… more
- University of Rochester (Rochester, NY)
- …**Responsibilities:** GENERAL SUMMARY Provides oversight, administration, and direction for high- risk and high-priority financial research compliance functions. ... UR-specific risks, and consultation with UR department study personnel. + Prepares monthly audit samples of transactions for such identified risk areas. +… more
- Barnes & Noble (New York, NY)
- …by Director. * Generate and review product, import, vendor and similar reports for compliance risk assessment daily or weekly at the direction of Director. * ... and analysis of product data and documentation with a proactive approach to assessing risk . The Compliance Analyst will document and maintain compliance … more
- Scotiabank (New York, NY)
- …of US compliance procedures. + Coordinate with Internal Control on compliance risk assessments, independently conduct the effective challenge of ... compliance risk assessments, and...Trading, including transaction reporting, best execution, market access, Consolidated Audit Trail (CAT) requirements, etc. + Relevant compliance… more
- Zurich NA (New York, NY)
- …consistency with global standards and local regulations. + You will lead compliance risk assessments, identifying, assessing, and managing risks through ... is a strategic leadership role where you'll shape the compliance culture, manage risk proactively, and support...actionable guidance. + You will manage relationships with Legal, Risk , Audit , and other assurance functions to… more
- SMBC (New York, NY)
- …to the President and is responsible for overseeing the management of the broker dealer's compliance risk and is represented by the Chief Compliance Officer ... either a member or observer of various committees such as the New Product, Underwriting, Risk Management, Compliance , IT Risk and Training committees. The … more
- Mizuho Corporate Bank (New York, NY)
- … AI Initiatives, you will play a pivotal role in shaping the future of AI risk management and compliance within our Compliance Department. You will oversee ... various Line of Business, Corporate Function, and Regionally aligned Compliance Conduct and Operational Risk (CCOR) groups...between control managers and lines of business for any Audit , Regulatory and Client AI requests. + Provide oversight… more