- SMBC (New York, NY)
- …President and is responsible for overseeing the management of the broker dealer's compliance risk and is represented by the Chief Compliance Officer as ... of various committees such as the New Product, Underwriting, Risk Management , Compliance , IT ...operational efficiencies and automation of processes to reduce risk of manual processes. + Assists in providing training… more
- New York State Civil Service (New York, NY)
- …Profile Summary? Own Risk and Solvency Analysis? Enterprise Risk Management * Reviews the companies' response for cybersecurity compliance . If the company ... in one (1) of the following:* Evaluating the adequacy of board and management oversight of the financial institutions' compliance programs.* Reviewing lending,… more
- TD Bank (New York, NY)
- …regulatory changes are considered within the Business and assist in implementing compliance initiatives to help manage regulatory risk . **Education & ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $75,000 - $95,000 USD TD is...to examinations and regulatory findings. + Assist with the management and tracking of regulatory inquiries. + Assist with… more
- Coinbase (Albany, NY)
- …OKRs, KPIs and initiatives. * In partnership with Compliance , Legal, Program Management , and other operational support partners (ie Workforce Management , ... duties): * You will execute the strategic vision for Compliance by scaling operational performance, which includes...senior leadership. * Working knowledge of laws, regulations, and risk management practices for financial services. *… more
- Scotiabank (New York, NY)
- … risk , including but not limited to responsibilities under the Operational Risk Management Framework, Regulatory Compliance Risk Management ... lifecycle and ensure adherence to risk & compliance guidelines + Project Management and Stakeholder...day-to-day business controls to meet obligations with respect to operational risk , regulatory compliance … more
- St. George's University (Great River, NY)
- …communications, and timely delivery of federally required financial aid information, reducing compliance risk and audit findings. This position reports to the ... Aid Compliance , Operations and Training provides senior-level leadership for the operational , compliance , audit, and training functions within the Office of… more
- Fedcap (New York, NY)
- … management team(s), coordinate various program/funder audits, ensure tax compliance . Perform financial audits of business functions and processes to ensure ... this role, you will conduct both internal control and risk assessment-based audits for multiple practice areas and groups,...you have: + 10+ years of internal audit and compliance experience. + 5+ years of team management… more
- Mizuho Corporate Bank (New York, NY)
- …action. + Identify areas of risk and make recommendations on operational improvements, processes for compliance , quality assurance and any additional ... Description The Americas Compliance Department (ACD) manages compliance risk in the United States for...training essential to mitigate risk . + Assist in the design and … more
- American Express (New York, NY)
- …are advantageous. + Experience working with or in operational risk management space (eg, Risk , Compliance , Control Management and/or Internal ... be a key connection point with the second-line Global Risk & Compliance (GRC) teams. **How will...for identifying, assessing, and collecting 1LoD capability needs for Operational Risk Management execution, and… more
- New York State Civil Service (Albany, NY)
- …BSA/AML program; operational , regulatory and legal risks and controls; risk management program; financial condition; etc; and presenting written ... and identifies and assesses relevant current and emerging risks; * Conducts risk -based assessments of applicants' and Licensees' governance, compliance , and… more