- Raymond James Financial, Inc. (New York, NY)
- …) plays a key role in supporting the firm's compliance with non- financial regulatory reporting requirements. Leveraging advanced knowledge and experience, this ... : + Responsible for the production, validation and submission of non- financial regulatory reports (eg, Consolidated Audit Trail (CAT) Electronic… more
- TD Bank (New York, NY)
- …are in compliance with applicable internal and external requirements ( eg financial controls , segregation of duties, transaction approvals and physical ... the governance of Non-Model/EUC risk to the bank by executing compliance and control testing to validate that Non-Models/EUC risks are managed in compliant with the… more
- M&T Bank (Buffalo, NY)
- …and Wealth Management. Product Controller teams are responsible for oversight of financial / regulatory accounting and reporting for all segment products and ... accounting policies in accordance with GAAP. + Ensure relevant financial , operational, regulatory , and reputational risks are...+ Understand and adhere to the Company's risk and regulatory standards, policies and controls in accordance… more
- BMO Financial Group (New York, NY)
- …and maintains Model Risk policies and standards, risk rating methodologies, and controls to align with regulatory expectation and industry practice, and ... governance framework and practices leveraged across BMO and US; ensures compliance with regulatory guidance and expectation for Model Risk Management and serves as a… more
- M&T Bank (Buffalo, NY)
- …system development lifecycle (SDLC), change management, access management, and automated controls within financial applications. + Perform risk-based assessments ... control concepts + Experience evaluating adequacy of the controls + Strong leadership skills + Experience coaching and...with cloud environments (AWS, Azure, GCP) and related security controls . + Regulatory Knowledge: Awareness of SOX,… more
- City National Bank (New York, NY)
- …risk analysis and assessment of compliance regulations, identifying risks and controls , monitoring business unit control environment, drafting and maintaining ... management skills and be accustomed to working with deadlines. * Certified Regulatory Compliance Manager (CRCM), Certified Internal Auditor (CIA), and/or… more
- US Bank (New York, NY)
- …Auditor assists in identifying and analyzing business processes, key risks and critical controls , and help to evaluate control design adequacy, perform ... Operations Account Services. **Primary Responsibilities:** + Assisting the Audit Project Manager in planning audit engagements. Includes performing control … more
- M&T Bank (Buffalo, NY)
- …on a periodic basis. Understand and adhere to the Company's risk and regulatory standards, policies and controls in accordance with the Company's Risk ... vary by department and are assigned by the department manager . The position may be responsible for additional projects...+ Understand and adhere to the Company's risk and regulatory standards, policies and controls in accordance… more
- TD Bank (New York, NY)
- …risk management frameworks and programs, including Compliance Risk Assessment, regulatory controls management, Compliance Issue Management, Compliance Monitoring ... Company and supports the development, implementation, and maintenance of a regulatory compliance program through compliance activities across various lines of… more
- University of Rochester (Rochester, NY)
- …regulatory commissions/authorities. Coordinates and conducts the assessment of internal controls to ensure compliance as required by regulatory ... organizational and governmental standards. Maintains compliance with all country-mandated regulatory requirements. Documents legal regulations that might affect the… more
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