- TD Bank (New York, NY)
- …and Control team is a first line of defense team responsible for providing risk and compliance advice and oversight to ensure our TDS business partners ... activities, operations, products and services, and are operating within risk appetite in compliance with regulatory requirements,...and assess whether the Business is adhering to internal ( risk management, oversight function and audit ) and… more
- Citigroup (New York, NY)
- …6-10 years of experience in operational risk management, compliance , audit , or other control-related functions in the financial services industry. + ... of issues with key stakeholders, such that Citi achieves and maintains compliance and appropriately remediates findings from internal and external reviews as well… more
- Diageo (NY)
- …expertise in internal controls and audit practices including expertise in risk and control frameworks, financial policies and procedures, process and ... one's talent and personality. **Internal Controls:** + Partner with financial and operational management to optimize the internal control...teams (Demand and Supply) + Support to our Global Audit & Risk , Global Controls Assurance teams… more
- SMBC (New York, NY)
- …Collateralized Loan Obligations issuance process + Knowledge of Capital Markets, CLO, Loans compliance and risk management requirements & best practices + Strong ... SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a...Solutions interactions with 2nd Line of Defense functions, Internal Audit , and Regulators pertaining to processes and controls. *… more
- SMBC (New York, NY)
- …and escalating issues to the right stakeholders at the right time. + Partner with Compliance , Risk , Audit , and Technology teams to ensure program objectives ... SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a...cross-functional programs involving multiple stakeholders across lines of business, risk , compliance , and technology. + Understanding of… more
- Palo Alto Networks (New York, NY)
- …security solutions.Assisting Unit 42 Consulting Leadership in the development of Risk Management, Compliance , and Security standards within professional services ... industry knowledge of and experience with cybersecurity best practices within theGovernance, Risk and Compliance (GRC) field to provide recommendations to… more
- Citigroup (New York, NY)
- …safety, data retention, and privacy + Audit employment policies, practices, and compliance initiatives while identifying areas of risk + A recognized subject ... management and/or primary advisor to senior business stakeholders, functional partners (eg, Risk , Compliance , Finance, CAO, CCO), the Legal Management Council… more
- MTA (New York, NY)
- …oversees all aspects of the safety and health program, ensuring regulatory compliance , operational safety, and risk mitigation across nine inter-borough ... health compliance reports. Collaborate with regulatory agencies to maintain compliance and address audit findings effectively. Monitor changes in regulations… more
- TD Bank (New York, NY)
- …follows compliance / risk and control programs + Ensures ongoing compliance with internal/external audit and regulatory requirements. Provides prompt and ... services, products, and tools to help Customers achieve their financial goals. **Depth & Scope:** + Performs a wide...comprehensive responses to all external audit , regulator and compliance requests and findings.… more
- Citigroup (Getzville, NY)
- …team, which is responsible for executing daily controls to mitigate the inherent risk of non- compliance with the SEC's Client Asset Protection rule (15c3-3), ... businesses (Prime Client Execs & Prime Finance traders), Markets Operations (NY/NJ), Financial Controllers (NY), Technology, Prime Legal, Compliance (NY/NJ), … more