- Navient (Albany, NY)
- … policies that stick. **About You:** + 3-4+ years of experience in regulatory compliance , audit, or operational risk & controls within the consumer ... drive alignment and transparency. + Lead the charge on compliance testing by executing the First Line...remote work environment. **Even Better:** + Certifications in regulatory compliance , audit, or risk management disciplines are… more
- RGP (New York, NY)
- …with leadership. * Develop comprehensive audit plans, conduct fieldwork including testing and validation of controls, and review compliance policies. ... our global clients-solving problems in the areas of Business Transformation, Governance, Risk and Compliance , and Technology and Digital Innovation. Our unique… more
- Bowery Residents Committee (Manhattan, NY)
- …annual and programmatic audits. + Performs control evaluation activities that include risk assessment, ongoing testing of transactional key controls, review of ... Position Overview Reporting to the CFO, the Director of Audit Compliance performs various aspects of professional internal auditing work. Responsible for determining… more
- Scotiabank (New York, NY)
- …of, and compliance to, established IT Standard, Policies, Procedures, regulatory, operational risk and cyber risk requirements through active engagement, ... tracked and actioned. + Support in leading US Technology risk control testing and monitoring and guides.../ quarterly reporting for senior management, Internal Controls, GRM, Compliance , Audit, Operational Risk or… more
- City National Bank (New York, NY)
- … program functions, including Compliance Risk Assessments, Key Risk Indicators (KRI) review, Issue Management, Operational Losses, and more. Provide ... * Coordinate 2LOD Review & Challenge interactions with LOB, engage with 2LOD Compliance Testing (including RBC) to provide sufficient guidance and support during… more
- TD Bank (New York, NY)
- …to customer service. **Department Overview** The Regulatory Reporting Group (RRG) has operational oversight to ensure compliance standards are being met for ... regulatory requirements **Job Requirements** + 7-8 years of Global Markets, Risk / Compliance Operations, and/or regulatory reporting experience + Subject matter… more
- BMO Financial Group (New York, NY)
- …that the First Line of Defence responsibilities outlined in the Legal Regulatory Compliance Risk Management (LRCRM) Policy, the Enterprise Compliance Program ... audit, External auditors and various regulators (eg, FINRA), Enterprise Risk , Operational Risk and other...established regulatory libraries. + Completion of requisite annual Regulatory Compliance Risk Assessment for the group. +… more
- American Express (New York, NY)
- …Control Management team's mission is to help identify, assess, mitigate, and report on Operational Risk to ensure that we deliver on the customer promise for ... services. The team strengthens our culture and discipline of operational risk management and our ability to...are integrated into future ORM practices + Perform sample testing of issues to ensure resolution is complete and… more
- Bank of America (New York, NY)
- …ability to recognize all risk categories including credit, market, operational , and compliance . **Responsibilities:** + Assists in establishing and ... thresholds within the defined corporate standards, assisting in conducting execution of risk framework activities including independent monitoring and testing of… more
- Scotiabank (New York, NY)
- …to and effectiveness of day-to-day business controls to meet obligations with respect to operational risk , regulatory compliance risk , AML/ATF risk ... and conduct risk , including but not limited to responsibilities under the Operational Risk Management Framework, Regulatory Compliance Risk … more