- Robert Half Finance & Accounting (New York, NY)
- …Manhattan office (Tuesday-Thursday). Responsibilities + Assist in the management of firm's compliance program and strategic initiatives with a focus on ... Our client requires 8+ years Investment and Broker Dealer Compliance experience within a Registered Investment Advisor ...ensure consistency in approach with respect to executing the compliance program + Oversee and contribute to… 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
- Option Care Health (Albany, NY)
- …business teams understand and follow Company policies, regulatory requirements, and our compliance program . The Vice President provides expert guidance on ... members across the organization. Support our continuous improvement mindset for Option Care's compliance program by sharing business insights and examples of … 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
- SMBC (New York, NY)
- … Compliance Officer (CCO) and be responsible for leading all components of the compliance program at an asset management firm in Manhattan, which engages in ... Objectives** + Develop and manage all components of the compliance program and operations for a New...become CCO at a New York State registered investment advisor . Managerial skills + Proficiency in Windows and Office… more
- TD Bank (New York, NY)
- …policy rollouts, system migrations, and process reengineering + Serve as a senior advisor to business and compliance stakeholders on complex conflict scenarios + ... New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $225,000 - $250,000 USD TD is committed to providing fair… more
- BMO Financial Group (New York, NY)
- …Applies specialized knowledge of Accounting & Financial management risk, regulatory compliance and internal controls related to financial processes and information. ... accountability for follow through. + Acts as a trusted advisor on governance matters. + Influences and negotiates to...measurement & reporting on the status of the governance program to various internal & external stakeholder audiences. +… more
- TD Bank (New York, NY)
- …generally manages a team greater than 5 Audit professionals/specialists + Strategic advisor to leadership team on the management of the portfolio and financials, ... Services Audit Experience with a large bank + Consumer Compliance Experience + Former Regulator + Direct management of...application process, please email TD Bank US Workplace Accommodations Program at ###@td.com . Include your full name, best… more
- Western Digital (Albany, NY)
- …of data storage. **Job Description** The Director of the Enterprise Risk Program within Internal Audit is responsible for developing, leading, and maintaining the ... to ensure risk-focused audit execution and reporting. + Serve as a strategic advisor on risk issues uncovered during audits and offer remediation strategies. + Risk… more
- International Rescue Committee (New York, NY)
- …portfolio, ensuring compliance , impact, and sustainability. + Ensure that all program office support functions are resourced and managed in accordance with IRC ... Requisition ID: req58913 Job Title: Vice President, Program Delivery Sector: Senior Executive Leadership Employment Category: Regular Employment Type: Full-Time… more
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