- Robert Half Finance & Accounting (New York, NY)
- … compliance program and strategic initiatives with a focus on regulatory requirements and other obligations + Provide compliance advisory services to ... Our client requires 8+ years Investment and Broker Dealer Compliance experience within a Registered Investment Advisor ...ensure consistency in approach with respect to executing the compliance program + Oversee and contribute to… more
- NYU Rory Meyers College of Nursing (New York, NY)
- …the Global Ethics and Compliance Program in order to ensure compliance with evolving laws and regulatory requirements in addition to University policies ... regulations, and policies. The CGCO will lead the implementation of a comprehensive compliance program for the University through meaningful engagement of key… more
- SMBC (New York, NY)
- … Compliance Officer (CCO) and be responsible for leading all components of the compliance program at an asset management firm in Manhattan, which engages in ... near future. The CCO will foster a culture of compliance and ensure local regulatory compliance...Objectives** + Develop and manage all components of the compliance program and operations for a New… more
- Option Care Health (Albany, NY)
- …is responsible for helping the business teams understand and follow Company policies, regulatory requirements, and our compliance program . The Vice President ... educates on our external regulatory landscape including OIG Guidance, corporate compliance program guidance, special fraud alerts, etc. and drives policy… more
- BMO Financial Group (New York, NY)
- …groups. Applies specialized knowledge of Accounting & Financial management risk, regulatory compliance and internal controls related to financial processes ... in-depth knowledge of business and related risk management requirements and legislative/ regulatory directives and guidance. + Supports the group/ program leader… more
- Guardian Life (Albany, NY)
- …of NAIC). + 3-5 years of broker-dealer and registered investment advisor compliance experience, with experience at an insurance-affiliated broker/dealer ... best-in-class Law Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we deliver (ie,… more
- TD Bank (New York, NY)
- …policy rollouts, system migrations, and process reengineering + Serve as a senior advisor to business and compliance stakeholders on complex conflict scenarios + ... New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $225,000 - $250,000 USD TD is committed to providing fair… more
- Mizuho Corporate Bank (New York, NY)
- …role will work in close partnership with divisional leadership to ensure the program is comprehensive, effective, and aligned with regulatory expectations and ... the broader program to identify areas for continuous improvement. + Ensure compliance with applicable regulatory requirements and serve as a liaison with… more
- Western Digital (Albany, NY)
- …Monitor changes in regulatory requirements and industry risk trends. + Ensure compliance with regulatory expectations and best practices in ERM and internal ... storage. **Job Description** The Director of the Enterprise Risk Program within Internal Audit is responsible for developing, leading,...audit execution and reporting. + Serve as a strategic advisor on risk issues uncovered during audits and offer… more
- MUFG (New York, NY)
- …Oversee the implementation of Sound Practices to Operational Resilience, and ensure all regulatory requirements (eg FFIEC, OCC, FRB) are being adhered to + Manage ... internal audits and regulatory exams, regularly engage with senior leader, auditors, and...met + Develop and oversee the continuous process improvement program which includes (but is not limited to) a… more