- University of Rochester (Rochester, NY)
- …team, responsible for overseeing and leading all aspects of the University's compliance program for academic and central administrative functions. The CCE ... and senior leadership across various university departments. **Essential Functions:** Compliance Program Leadership: + Oversee the development, implementation,… more
- Guardian Life (New York, NY)
- …and help lead data analytic initiatives and thinking to improve the overall compliance program effectiveness and efficiencies. **You have** + Broad knowledge of ... and investment adviser entities. + Assist with the Firm's Compliance testing program and the review and...NAIC). + 3-5 years of broker-dealer and registered investment advisor compliance experience, experience at an insurance-affiliated… 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
- GE Vernova (Schenectady, NY)
- …across business and corporate stakeholders to ensure effective implementation of GE Vernova's compliance program , code of conduct, lead risk mitigation and drive ... Compliance Operations Leader will serve as a key advisor to the Chief Compliance Officer for...policy needs that will mitigate future risks. **Job Description** Compliance Program : + Lead the risk assessment… more
- MTA (Jamaica, NY)
- …planning, directing, and administering the operations of the MTA Ethics, Risk, and Compliance Program . Identify and assess departmental compliance with ... out fraud, waste and abuse. Serve as a leading advisor in managing MTA and its subsidiary agencies' Corporate...applicable rules, regulations, policies, and procedures. Ensure that the Compliance program is consistent with industry standards… more
- CBRE (New York, NY)
- …problem-solving and team building for dynamic business environments. **What You'll Do:** Compliance Program Leadership: + Develop, implement, and maintain a ... compliance programs, including knowledge of the US Sentencing Guidelines, relevant SEC compliance program guidelines, and the US DOJ Guidance on the… more
- TD Bank (New York, NY)
- …(QA) program and continue to drive accuracy, consistency, and compliance with departmental review procedures. The incumbent will collaborate closely with Trade ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $150,000 - $185,000 USD TD is...to develop and build out a global Surveillance QA program . The Surveillance Quality Assurance Manager will contribute to… more
- KeyBank (Amherst, NY)
- … (the "REA Program ") has the responsibility for evaluating Key's ongoing compliance with applicable laws and regulations through the execution of compliance ... as assigned and assist in the development and on-going enhancement of the REA Program and compliance related procedures. + Actively identify and pursue training… more
- NYU Rory Meyers College of Nursing (New York, NY)
- …Vice President, General Counsel for developing, executing, and enforcing the Global Ethics and Compliance Program in order to ensure compliance with evolving ... regulations, and policies. The CGCO will lead the implementation of a comprehensive compliance program for the University through meaningful engagement of key… more
- HSBC (New York, NY)
- …independent trusted advisor in governance forums, issue management, fostering a compliance culture and optimizing relations with risk owners and control owners + ... Director of Wealth, Private Banking and Insurance Regulatory Compliance Brand: HSBC Area of Interest: Risk and...through an industry-leading volunteerism policy, a generous matching gift program , and a comprehensive program of immersive… more
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