- Raymond James Financial, Inc. (New York, NY)
- …across senior business units. + Strategic planning, risk management, and regulatory analysis. + Compliance investigations and issue resolution. + Effective ... for the Capital Markets division. This role requires significant industry expertise, regulatory acumen, and leadership skills to manage compliance functions,… more
- CIBC (New York, NY)
- …risk assessments of US regulatory requirement group topics to determine risk ratings under CIBC's Regulatory Compliance Management framework; + Assist ... Requirements, Data Research, Decision Making, Process Improvements, Quality Assurance (QA), Regulatory Compliance , Risk Assessments, Strategic Objectives At… more
- TD Bank (New York, NY)
- …expertise on regulatory requirements and assisting business units to manage their regulatory risk . **Responsibilities:** + Provide day to day advice to the ... regulatory framework supporting businesses such as Global Trade Finance and Payments & Corporate Cash Management\. Such advice...and Controls are mapped to the Business + Conduct compliance risk assessments to ensure effective business… more
- University of Rochester (Rochester, NY)
- …design and manage effective compliance programs, audits, investigations, and risk assessments in government contracting. + Regulatory Knowledge: Proven ... to ensure compliance with federal, state, and institutional guidelines. + ** Regulatory Compliance ** : Ensure strict adherence to the Federal Acquisition… more
- SMBC (New York, NY)
- …to celebrate Compliance -led Culture efforts to reinforce the firm's culture of compliance . + Partner with business heads and risk functions to enhance ... alignment and ensure informed decision-making. + Stay current with regulatory expectations related to compliance culture and...plus. + Minimum of 15 years of experience in compliance , risk management, human resources or project… more
- TD Bank (New York, NY)
- …programs to support a strong risk culture and comprehensive approach to managing regulatory compliance risk . This Director - Compliance Testing Team ... for this role. **Job Description:** TD has enhanced its Regulatory Compliance Management Framework (RCM) and is... requirements and assisting business units to manage their regulatory risk . **Key Responsibilities:** + Assist in… more
- CIBC (New York, NY)
- …40 **Skills** Compliance Reporting, Compliance Testing, Decision Making, Regulatory Compliance , Risk Assessments, Strategic Advice At CIBC, we ... designed to evaluate the design and effectiveness of business controls in meeting regulatory compliance . This position primarily supports the US Capital Markets… more
- SMBC (New York, NY)
- …establish and maintain coordination with related compliance disciplines - eg, regulatory change, risk assessment, management of controls library. + Provide ... services, including banking, leasing, securities, credit cards, and consumer finance . The Group has more than 130 offices and...services or international law firm, with an emphasis on regulatory compliance . + Experience developing policies and… more
- Raymond James Financial, Inc. (New York, NY)
- **Essential Duties and Responsibilities** + Oversees compliance and risk -related training and education processes in collaboration with internal stakeholders. + ... responsibilities as assigned. **Knowledge, Skills, and Abilities** **Advanced knowledge of:** + Compliance and risk training for the securities industry and/or… more
- WMCHealth (Valhalla, NY)
- … Program, specifically the WMC Advanced Physician Services, by monitoring compliance with internal and external regulatory standards. Responsibilities include ... in the development and implementation of the Annual Corporate Compliance Work Plan based on an internal risk...minimum of 3 to 5 years of experience in compliance or regulatory management in a large… more