- Marex (New York, NY)
- … Advisory services for broker-dealer Regulatory Reporting process. + Carry out assigned compliance testing . + Coordinate and provide Compliance Advisory ... and other applicable regulatory organizations. + Adhere to the operational risk framework for your role ensuring...working in a regulated environment and knowledge of the risk and compliance requirements associated with this.… more
- Mizuho Corporate Bank (New York, NY)
- …work collaboratively with various Line of Business, Corporate Function, and Regionally aligned Compliance Conduct and Operational Risk (CCOR) groups to ... a pivotal role in shaping the future of AI risk management and compliance within our ...and mitigate risks. + Collaborate with legal, technical, and operational teams to address compliance issues. +… more
- PSEG Long Island (Bethpage, NY)
- …developed policies and procedures, objectives and determines strategy for tracking operational compliance activities goals including: gathering current state and ... strategic direction of broader IT organization. Collaborate with Enterprise Compliance and Risk needs to identify and...normal operations. For all roles, PSEG's drug and alcohol testing program includes pre-employment testing , testing… more
- Fedcap (New York, NY)
- …using data analytics. + Participate in SOX 404 internal control evaluation and testing Financial, Operational and Information Systems audits Data analytics and ... this role, you will conduct both internal control and risk assessment-based audits for multiple practice areas and groups,...unit. Such reviews will include, at a minimum, high-level testing designed to ensure compliance with established… more
- Barnes & Noble (New York, NY)
- …by Director. * Generate and review product, import, vendor and similar reports for compliance risk assessment daily or weekly at the direction of Director. * ... data and documentation with a proactive approach to assessing risk . The Compliance Analyst will document and...is in keeping with best practices. * Track vendor testing of company products. Conduct assessment of safety test… more
- Navient (Albany, NY)
- …improve marketing review workflows. **About You:** + 3-4+ years of experience in regulatory compliance , audit, or operational risk & controls within the ... training materials aligned with regulatory best practices. + Lead risk assessments and compliance initiatives to identify...is a plus. + 1-2 years of experience conducting compliance testing routines & supporting consumer financial… more
- Coinbase (Albany, NY)
- …deliverables to ensure successful outcomes. * Engage with key stakeholders (legal, risk , compliance , operations) to ensure ongoing communication and alignment of ... expected and fully supported. We are seeking an experienced Compliance Program Manager to oversee the execution of high-priority...and 3) resolve internal audit findings and ensure all operational processes related to TMS and Screening are aligned… more
- TD Bank (New York, NY)
- …units in adhering to regulatory/ compliance requirements and assists in implementing compliance initiatives to help manage regulatory risk . ** Compliance ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $125,000 - $140,000 USD TD is... Oversight program. + Evaluate and support first line testing efforts through execution of the Oversight framework, reviewing… more
- Coinbase (Albany, NY)
- …Audit is to objectively evaluate and audit the effectiveness of governance, compliance , risk management, and control process. The in-house Coinbase Internal ... Finance, Legal, IT, Security, and 2nd Line functions like Risk Management and Compliance ) and external auditors....& Oversight (Finance & Accounting):* Spearhead and execute comprehensive, risk -based operational audits of the finance and… more
- L3Harris (Rochester, NY)
- …interfacing with freight forwarders on behalf of L3Harris + Assist with trade compliance investigations, risk mitigation, audits and self-assessments + Travel - ... sea and cyber domains in the interest of national security. Job Title: Trade Compliance Specialist Job Code: 26692 Job Location: Rochester, NY or Arlington, VA or… more