- UMB Bank (Albany, NY)
- …compliance engagements, or self-assessments. + May be primary liaison for internal audit / compliance reviews, as well as external exams. + Partner with ... time:** + Administer Policy, Process and Procedure management program for the Commercial Bank . + Lead efforts on the buildout of the process and procedure… more
- Mizuho Corporate Bank (New York, NY)
- …Liaise with Front Office and clients directly + Review monthly Americas Legal Compliance Dept. (ALCD) exceptions for new onboarding remediation + Adhere to internal ... audit requirements + Recommend and assist in requirements for...required. + Liaise with internal groups such as Legal, Compliance , Sanctions, Regulatory, Tax and Operations Skills and Competencies:… more
- Pioneer Bank (Albany, NY)
- …for logistics and branding materials. Administrative Support + Assist with audit preparation, file management, inventory of marketing materials, and other ... that support team efficiency. + Maintain campaign documentation, vendor records, and compliance approvals as needed. Education & Experience: + Associate's degree in… more
- KeyBank (Amherst, NY)
- …**Required Qualifications** + Education/Background: Bachelor's degree + Minimum 6 years of compliance , risk management, and/or audit experience with a strong ... compliance , or testing (eg - second-line-of- defense testing, other risk or compliance testing functions, and/or internal or external audit ). COMPENSATION AND… 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 ... management and validation testing efforts. + Understand how the Bank 's risk appetite and risk culture should be considered...involve testing or audit . + Experience/background in compliance applicable to… more
- JPMorgan Chase (New York, NY)
- …years of professional experience in the financial services industry in areas such as Compliance , law, risk management or audit + Extensive knowledge of SRO and ... Sales and Trading businesses within the Corporate & Investment Bank line of business (LOB). You will be required...SEC rules and regulations relating to options compliance (eg Consolidated Audit Trail, Transaction Reporting,… 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 ... We're building a relationship-oriented bank for the modern world. We need talented,...regulatory requirements; and + US regulators and CIBC Internal Audit staff during regulatory exams and audits ** Compliance… more
- KeyBank (NY)
- …Ohio 44144 **Job Summary** As part of Key's second line of defense Compliance Risk Management function, the Complaint's Management Compliance Officer is ... responsible for helping to execute a robust and effective compliance complaints program, collaborating across the three lines of defense to reinforce risk awareness… more
- CIBC (New York, NY)
- We're building a relationship-oriented bank for the modern world. We need talented, passionate professionals who are dedicated to doing what's right for our clients. ... CIBC.com (https://www.cibc.com/en/about-cibc.html) **What You'll Be Doing:** The Capital Markets Compliance Examination Specialist is responsible for the execution of… more
- BMO Financial Group (New York, NY)
- …by providing oversight and making recommendations that significantly impact the Bank 's ability to monitor regulatory compliance programs, minimize operational ... sensitive Bank , customer, transactional and employee information to ensure compliance with regulatory requirements. + Communicates the roles and importance of… more