- Heritage Financial Credit Union (Middletown, NY)
- …in a financial institution, auditing firm, or consulting firm with regulatory compliance focus + Bank operations experience in mortgage originations, ... a difference in the lives of our members and our community. POSITION PURPOSE Regulatory Compliance is responsible for developing and maintaining a Compliance … more
- TD Bank (New York, NY)
- …your recruiter who can provide you more specific details for this role. **Job Description:** This Compliance Officer is a key member of the TDS US Compliance ... working with regional testing teams across the globe. This Compliance Officer will also support other aspects...regulatory reporting, sales and trading, at a global financial institution. + Firm understanding of securities and derivatives… more
- SMBC (New York, NY)
- …of the broker dealer's compliance risk and is represented by the Chief Compliance Officer as either a member or observer of various committees such as ... SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a...Nikko Securities Inc. **Role Objectives** + Assists in providing regulatory and compliance advice, identifying training needs,… more
- TD Bank (New York, NY)
- …specific details for this role. **Job Description:** We are seeking an experienced Conflicts Officer to join our Compliance Control Room at TD Securities. This ... and compliance stakeholders on complex conflict scenarios. + Monitor regulatory developments and industry best practices to ensure the firm's conflict management… more
- Stony Brook University (Stony Brook, NY)
- …research goals, objectives, and initiatives. + The DCRCP assists the SBM Chief Compliance Officer as required. + Performs other duties as assigned. ... as a resource, providing guidance to SBM leadership and staff on requirements and regulatory topics pertaining to research and academic compliance . + The DCRCP… more
- Bank of America (New York, NY)
- …securities portfolio. As the Chief Risk Officer (CRO) function covering the Chief Financial Officer (CFO) Group, we also bring together a holistic point of ... Enterprise Financial Risk Capital Markets Risk Sr. Specialist Charlotte,...+ Liquidity Management + Monitoring, Surveillance, and Testing + Regulatory Compliance **Shift:** 1st shift (United States… more
- University of Rochester (Rochester, NY)
- …close working relationship with the Senior Vice President and General Counsel, the Chief Compliance Officer of the Medical Center, the Director of Research ... financial management. + Develop and execute an annual compliance work plan that addresses the most significant +...Title IX, Clery Act, and FERPA. Strong understanding of regulatory compliance in academic, research and clinical… more
- TD Bank (New York, NY)
- …provides advice, guidance and support to business units in adhering to regulatory / compliance requirements and assists in implementing compliance initiatives ... New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $100,000 - $135,000 USD TD is committed to providing fair… more
- WMCHealth (Valhalla, NY)
- … Program, specifically the WMC Advanced Physician Services, by monitoring compliance with internal and external regulatory standards. Responsibilities include ... minimum of 3 to 5 years of experience in compliance or regulatory management in a large...protect the confidentiality of all patient care, personnel, and business/ financial information. Compliance : Employees will complete required… more
- WMCHealth (Poughkeepsie, NY)
- …of Westchester Medical Center Health Network Compliance Program by monitoring compliance with internal and external regulatory standards for Mid Hudson and ... minimum of 3 to 5 years of experience in compliance or regulatory management in a large...protect the confidentiality of all patient care, personnel, and business/ financial information. Compliance : Employees will complete required… more