- Citigroup (New York, NY)
- Serves as a senior function/business/product compliance risk manager for Independent Compliance Risk Management (ICRM) responsible for establishing ... Business Execution as well as cross- Client initiatives. **Job Family Group:** Compliance **Job Family:** Product Compliance Risk Management **Time… more
- Mastercard (Harrison, NY)
- …enterprise at 1st line of defence operational level * Drive a well-balanced compliance framework aligned with market risk profiles by navigating a new and ... business partner helping us balance what is needed for compliance but also understanding business risk and...non-regulated markets * Lead and manage a dedicated, 1st-line operational compliance function to effectively and efficiently… more
- Scotiabank (New York, NY)
- …to and effectiveness of day-to-day business controls to meet obligations with respect to operational risk , regulatory compliance risk , AML/ATF risk ... and conduct risk , including but not limited to responsibilities under the Operational Risk Management Framework, Regulatory Compliance Risk … more
- Wells Fargo (New York, NY)
- …for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational , Regulatory Compliance ), which includes effectively ... our focus on building strong customer relationships balanced with a strong risk mitigating and compliance -driven culture which firmly establishes those… more
- BMO Financial Group (New York, NY)
- …the applicable US governance framework(s). **Overall Accountabilities** **:** Regulatory/Exam Focus = 60% Financial Crisis Management = 20% Risk & Controls = 10% ... OCOO to identify opportunities across the Capital Markets network to improve operational processes, risk management practices, cost controls, and make… more
- Mizuho Corporate Bank (New York, NY)
- …action. + Identify areas of risk and make recommendations on operational improvements, processes for compliance , quality assurance and any additional ... The Americas Compliance Department (ACD) manages compliance risk in the United States...Group. Summary The successful candidate will join the centralized Financial Crime Compliance Quality Assurance (FCC QA)… more
- TD Bank (New York, NY)
- …Experience managing complex regulatory remediation. + Familiarity with regulations and compliance strategies and risk management; possesses and demonstrates ... across regional committees and boards (eg, employee trading metrics, operational issues, and related reporting). Provide the leadership team...and issues, and to propose practical solutions to mitigate risk , as it relates to compliance Global… more
- Navient (Albany, NY)
- … policies that stick. **About You:** + 3-4+ years of experience in regulatory compliance , audit, or operational risk & controls within the consumer ... remote work environment. **Even Better:** + Certifications in regulatory compliance , audit, or risk management disciplines are...is a plus. + 1-2 years of experience conducting compliance testing routines & supporting consumer financial … more
- M&T Bank (Buffalo, NY)
- …for assisting in the assessment and test effectiveness of internal controls over financial reporting (ICFR) to ensure compliance with the Sarbanes-Oxley Act of ... This individual is expected to have an understanding of financial auditing practices, SOX compliance requirements, and...assist with the remediation action plans. Assist in conducting risk assessments of financial reporting processes and… more
- Raymond James Financial, Inc. (New York, NY)
- …business leaders, providing compliance guidance to support decision-making and operational risk management. + Maintain expertise in securities underwriting, ... ensuring operational excellence. **Advanced Knowledge of:** + Securities industry compliance practices, concepts, and procedures. + SEC, FINRA, FRB Bank Holding… more