- Marex (New York, NY)
- … Advisory services for broker-dealer Regulatory Reporting process. + Carry out assigned compliance testing . + Coordinate and provide Compliance Advisory ... visit www.marex.com (http://www.marex.com/) Purpose of Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who will provide compliance … more
- Navient (Albany, NY)
- …consumer financial regulator is a plus. + 1-2 years of experience conducting compliance testing routines & supporting consumer financial services & products. ... below, and let's build something great together! **The Senior Compliance Analyst position will report to the Sr. ...Compliance Analyst position will report to the Sr. Compliance Manager - Head of 1st Line of Defense… more
- Scotiabank (New York, NY)
- …+ Providing guidance for compliance -related issues identified in internal audits and Compliance Testing reviews. + Playing a key role on the initiative to ... Director, Markets Compliance Officer **Requisition ID:** 225527 **Salary Range:** 180,000.00...future! **Purpose** In this role, you will provide senior compliance support for the Scotiabank US Sales and Trading… more
- American Express (New York, NY)
- … regulations + Experience in risk and control assessments, audit, or compliance testing + Familiarity with KYC operations, customer lifecycle, management ... the future of American Express. American Express' Global Financial Crimes Compliance (GFCC) team is responsible for leading the enterprise-wide Anti-Money Laundering… more
- ManpowerGroup (New York, NY)
- …periodic risk assessment process related to BSA/AML and Sanctions risks. + Performing compliance testing and quality assurance reviews to identify weaknesses and ... Our client, a leading financial institution, is seeking a Compliance Analyst to join their team. As a Compliance Analyst, you will be part of the Compliance … more
- Lincoln Financial (Albany, NY)
- …#:** 74829 **The Role at a Glance** We are excited to be hiring a **Manager, Compliance testing team** role in our Retirement Plan Services business line in our ... lieu of Bachelor's) Working knowledge of retirement plan administration, nondiscrimination testing and 5500's _Nice-to-haves:_ ASPPA QKA Working knowledge of FT… more
- JPMorgan Chase (New York, NY)
- …skills and experience interacting with fund Boards. + Operational familiarity with compliance program testing and documentation systems. + Commitment to ... JPMorganChase (the firm). As part of Risk Management and Compliance , you are at the center of keeping JPMorgan... program design and operation under Rule 38a-1, including testing , reporting, and documentation. + Prepare and present Board-facing… more
- Aflac (New York, NY)
- …program for new and existing external investment managers. + Perform and document compliance forensic testing . + Interface with other Aflac Compliance ... VP, Investment Compliance Manager The Company: Aflac Asset Mgt. LLC...registered investment advisers is a must. + Proactively identify compliance issues and obtain workable resolution. Make a broad… more
- KeyBank (NY)
- … compliance with applicable laws and regulations through the execution of compliance monitoring and testing across Key's lines of business, products, and ... activities. Individuals in this role assist in the design and execution of testing and continuous monitoring to evaluate Key's compliance with regulatory… more
- BMO Financial Group (New York, NY)
- …Income compliance program. Coordinate and performs risk assessment, monitoring, testing and surveillance activities to ensure program remains current and aligned ... compliance controls. + Perform and/or effectively challenge monitoring and testing activities to ensure regulatory compliance controls are operating and… more