- Santander US (Staten Island, NY)
- …sales and revenue goals as defined on a quarterly basis. + Maintains compliance with all applicable bank, broker /dealer, State and Federal regulations associated ... client objectives, and making appropriate investment/insurance recommendations consistent with compliance standards to achieve sales results and long-term client… more
- Deloitte (New York, NY)
- …+ Designing, reviewing, enhancing, implementing, and monitoring numerous AML and sanctions compliance programs for clients around the world, who are subject to US ... and procedures + Creating and delivering training modules + Conducting compliance assessments + Performing transaction monitoring "look backs" pursuant to regulatory… more
- Citigroup (Getzville, NY)
- …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), a Tier 2 US ... strength of the internal control framework (known as the 17a-5 Annual Compliance Report). Internally, this role regularly interfaces with NY-based Markets businesses… more
- Broadridge Financial Solutions (New York, NY)
- …clients to manage data privacy, user consent, and communication preferences in compliance with regulatory requirements. We are made up of high performing teams ... strategy, and roadmap for assigned fintech productsprioritizing innovation, growth, regulatory compliance , and speed to market. + Drive the development and ongoing… more
- Broadridge Financial Solutions (Edgewood, NY)
- …Integrate security controls into CI/CD workflows for automated guardrails and compliance enforcement. + Continuously tune security configurations based on real-world ... traffic analysis, vulnerability scanning, and compliance requirements. + Collaborate with cross-functional teams to ensure security measures align with compliance… more
- Deloitte (Rochester, NY)
- …Management, Data Access Governance, Data Loss Prevention, Cloud Access Security Broker , Encryption, Certificate Lifecycle Management, Cloud Security, SaaS Security + ... with data risk program design, including alignment to cybersecurity and compliance programs. + Experience working with data protection and information security… more
- TD Bank (New York, NY)
- …responsibilities. This role will also lead first-line engagement and activities with Compliance and Legal with respect to Office of Supervisory Jurisdiction (OSJ) ... + Ensures that business / department operations are in compliance with applicable internal and external requirements (eg financial...**OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements… more
- Axis (New York, NY)
- …documentation, assisting with policy issuance, providing technical support, and ensuring compliance with company guidelines and regulatory requirements. The TAs also ... thorough reviews of underwriting documents and policies to ensure accuracy and compliance with company guidelines and regulatory requirements. + Adhere rigorously to… more
- Deloitte (New York, NY)
- …solid understanding of partnership allocation methodologies, Subchapter K, and the tax compliance process for real estate funds, then we have an exciting opportunity ... and draw on your experience in accounting and taxation to provide tax compliance and consulting services to investment management clients. You will identify complex… more
- Deloitte (Jericho, NY)
- …understand regulated investment companies, Subchapter M, section 4982 excise calculations, and tax compliance ? If this is music to your ears, and you love a ... team and draw on experience in accounting and taxation to provide tax compliance and consulting services to Investment Management clients. You will identify complex… more