- KeyBank (Buffalo, NY)
- …ongoing compliance with applicable laws and regulations through the execution of compliance and operational risk monitoring and testing across Key's lines of ... Job** As part of Key's second line of defense Compliance Risk Management function, the Risk Evaluation and Assurance...assist in the design and execution of operational risk testing and continuous monitoring. Individuals work both autonomously on… more
- TD Bank (New York, NY)
- …global businesses, working with regional testing teams across the globe. This Compliance Officer will also support other aspects of the Core Compliance ... for this role. **Job Description:** **Preferred Qualifications:** This Senior Compliance Officer is a key member of... + Assist with developing and executing the annual Compliance Testing and Monitoring plan + Determine… more
- KeyBank (Amherst, NY)
- … compliance with applicable laws and regulations through the execution of compliance monitoring and testing across Key's lines of business, products, and ... in this role assist in the design and execution of wealth management testing and continuous monitoring to evaluate Key's compliance with regulatory requirements… more
- Manulife (New York, NY)
- …Description:** Based in New York City or Boston, the role of Chief Compliance Officer -Manulife Investment Management Private Markets Registered Funds and CQS ... bonds), and equities. Addition to reporting to the Global Chief Compliance Officer -Manulife Investment Management Private Markets and Manulife General… more
- Manulife (New York, NY)
- …Description:** Based in New York City or Boston, the role of Chief Compliance Officer -Manulife Investment Management Private Markets Registered Funds and CQS ... bonds), and equities. Addition to reporting to the Global Chief Compliance Officer -Manulife Investment Management Private Markets and Manulife General… more
- KeyBank (NY)
- …second line of defense Compliance Risk Management function, the Complaint's Management Compliance Officer is responsible for helping to execute a robust and ... strong focus on risks and controls. + Knowledge of internal controls, compliance testing and monitoring processes (including analytics), and applicable… more
- L3Harris (Rochester, NY)
- …and cyber domains in the interest of national security. Job Title: Lead, Legal Compliance (Ethics & Compliance Officer ) Job Location: Multiple: Rochester, ... L3Harris is seeking an experienced, proactive and solutions focused Ethics & Compliance Officer (ECO) who will be responsible for conducting investigations… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $125,000 - $140,000 USD TD is committed to providing fair ... you more specific details for this role. **Job Description:** The Senior Compliance Office provides advice, guidance and support to business units in adhering… more
- Bloomberg (New York, NY)
- Senior Compliance Officer - Data Privacy - Legal & Compliance Location New York Business Area Legal, Compliance , and Risk Ref # 10043072 **Description & ... to you to make it happen. Bloomberg's Legal & Compliance Department plays a critical role in supporting our...mapping of applicable regulatory obligations to risks, controls, controls testing and policy documents * Provide strong subject matter… 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