- Heritage Financial Credit Union (Middletown, NY)
- …in lending compliance and thrive on driving meaningful change in risk oversight, CMS effectiveness, and overall regulatory performance? Are you ready ... lives of our members and our community. POSITION PURPOSE Regulatory Compliance is responsible for developing and... laws and regulations. + Facilitate completion of Consumer Compliance Risk Assessment + Work with department… more
- TD Bank (New York, NY)
- …**Overview:** We are seeking a strategic and analytical Manager to join our Enterprise Regulatory Compliance Management (RCM) Risk Assessment team. This role ... a mission to build a more resilient and scalable compliance risk management function. As part of...alignment with regulatory expectations.** + **Participate in regulatory reviews, internal audits, and compliance testing… more
- University of Rochester (Rochester, NY)
- …but not limited to Title IX, Clery Act, and FERPA. Strong understanding of regulatory compliance in academic, research and clinical settings and in federal ... direct access to senior leadership and act as the primary advisor on compliance -related matters. Risk Identification and Management: + In partnership with… more
- Citigroup (New York, NY)
- …Management, Operations, Technology, Finance , other Control Functions, and In-Business Risk to address compliance issues which may impact the assigned ... Serves as a senior function/business/product compliance risk officer covering North American Cash Equities Sales and Trading businesses. The role is responsible… more
- SMBC (New York, NY)
- …to the President and is responsible for overseeing the management of the broker dealer's compliance risk and is represented by the Chief Compliance Officer ... of various committees such as the New Product, Underwriting, Risk Management, Compliance , IT Risk ...Nikko Securities Inc. **Role Objectives** + Assists in providing regulatory and compliance advice, identifying training needs,… more
- TD Bank (New York, NY)
- …US Compliance , we're on a mission to build a more resilient and scalable compliance risk management function. As part of our team, you'll play a key role ... + Proactively advises the business of new and changed Compliance regulatory and/or policy changes + Formulates... Compliance Team procedures + Facilitates the periodic Compliance risk and self-assessment activities for designated… more
- KeyBank (NY)
- … Risk Management organization, this role plays a key part in ensuring regulatory compliance and effective risk management over all of the fiduciary ... management, including account administration best practices. + Proficiency in compliance risk assessments and monitoring methodologies. + Excellent written… more
- Marex (New York, NY)
- …agency bonds, municipal bonds, and US Treasuries as well as providing compliance advisory services regarding various other regulatory reporting requirements, ... unit(s). Such guidance will be tailored to resolving issues with consideration to regulatory requirements, regulatory and firm risk and industry best… more
- ManpowerGroup (Albany, NY)
- …enforcing processes, schedules, work structures, and other measures to ensure regulatory compliance . Must demonstrate effective collaboration with and influence ... About 5 years of experience working with federal grant compliance and audit or risk management experience...., and internal controls staff. Work closely with program, finance , legal, regulatory and internal audit staff.… more
- City of New York (New York, NY)
- …the agency's many compliance activities. This involves monitoring legislative and regulatory changes, assessing their impact and risk related to HPD programs ... policy and implementation role for the new Office of Compliance & Risk Management (CRM). This Office...Divisions and units: - Adjudications - Economic Opportunity & Regulatory Compliance - Public Information - Audit… more