- TD Bank (New York, NY)
- …and/or executes the follow-up of findings arising from internal audits and regulatory reviews in accordance with policy + Oversees/leads the ongoing audit ... communications and/or the reporting process with the client, senior management and external auditors for specific and/or overall Audit area + Provides direction… more
- Raymond James Financial, Inc. (New York, NY)
- …strategic and operational lead for the firm's global sanctions compliance program. Reporting to the Chief AML Officer, you'll be responsible for ensuring adherence ... proactive risk-based initiatives to protect the firm from legal, regulatory , and reputational risk. This role sits at the...(eg, OFAC, EU, UN, UK sanctions) + Familiarity with financial products and services across banking, securities, and payment… more
- Trinity Health (Syracuse, NY)
- …providing leadership and program/project development, monitoring, control, etc. + Typical direct reporting levels would include: Section Managers. + Financial : + ... allocation to ensure optimal operational efficiency. Ensure compliance with regulatory standards and accreditation requirements specific to each department. Develop… more
- Antech Diagnostics (New York, NY)
- …while ensuring new and continuous compliance with Mars policies, standards and regulatory requirements. **Key Responsibilities:** + Assist Mars and SDx Leadership in ... aligned to SDx business objectives. + Stay current on regulatory developments, industry trends and cybersecurity emerging threats. +...in maintaining risk register and assist the Director in reporting on risk posture to SDx Leadership. + Monitor… more
- MTA (New York, NY)
- …+ Conduct and guide technical staff performing safety risk assessments, regulatory compliance reviews and ergonomic reviews on equipment and operations processes. ... analysis. Respond to requests for data, reports, etc. from senior staff, regulatory authorities (FRA, PTSB, PESH), etc. Ensure safety data is accurately captured,… more
- Scotiabank (New York, NY)
- …Scope and execute compliance testing in order to assess compliance with legal, regulatory and internal firm policy requirements. + Focus on the applicable ... regulatory requirements to ensure testing is adequately designed to...to create a more diverse and efficient testing and reporting experience. **What You'll Bring** + 5-7 years of… more
- M&T Bank (Buffalo, NY)
- …in the planning and execution of validation procedures for Internal Audit and Regulatory issues that require subject matter expertise. + Organize and complete work ... to applicable compliance/operational risk controls in accordance with Company or regulatory standards and policies. + Promote an environment that supports belonging… more
- JPMorgan Chase (Brooklyn, NY)
- …SOC, DCAM, and SEC guidance for management's assessment of internal controls over financial reporting + Demonstrated ability to apply IT-related knowledge and ... of the Technology Risk & Services team and ensure compliance with regulatory obligations and industry standards. **Job responsibilities** + Assess and monitor… more
- Citigroup (New York, NY)
- …professionals. CLM is essential for the delivery of a wide range of financial solutions to Citi CCB clients, working in direct partnership with Relationship Managers ... coverage bankers, CLM teams provide thorough, objective analysis of the financial condition and credit worthiness of borrowers, including prevailing covered industry… more
- MUFG (New York, NY)
- …(b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association ... actions to count?** Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the world's leading ...of Defense (SLoD), Third Line of Defense (TLoD), or regulatory authority, and identify required resources for remediation. +… more