- TD Bank (New York, NY)
- …skills** + **Knowledge and experience within bank compliance or bank audit , legal and regulatory environment, enterprise governance framework, products ... Currency Comptroller (OCC), Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority** **(FINRA)** **Customer Accountabilities:** +… more
- Robert Half Finance & Accounting (New York, NY)
- …directly into the Group CFO and oversees Financial Accounting (GAAP), Management Reporting , Treasury/Liquidity, FP& A, Audit and Regulatory Filings. This ... have experience with Financial Accounting (GAAP), Management Reporting , Treasury/Liquidity, FP& A, Audit and Regulatory Filings + Experience managing and… more
- TD Bank (New York, NY)
- …LLC and TD Wealth Management Services Inc) with independent and complex regulatory regimes.** **The Financial Advisors, Relationship Managers, and Investment ... initiatives as needed** **Job Summary:** The **Compliance Administration Oversight & Reporting Manager** ensures regulatory adherence and risk management within… more
- SMBC (New York, NY)
- …+ Lead the coordination and execution of remediation activities related to regulatory findings and audit observations, ensuring timely closure, documentation, ... with a strong background in data management, technology transformation, or regulatory programs within financial services. + Undergraduate degree required;… more
- TD Bank (New York, NY)
- …monitoring, risk assessment, reporting and other activities** + **Internal Audit , regulatory exam, and ongoing supervision management, finding tracking, and ... and investment handbooks.** + **Knowledge and experience within compliance or audit , legal and regulatory environment, enterprise governance framework, products… more
- WMCHealth (Valhalla, NY)
- …pharmacy purchasing activity, ensuring all software and tracking systems function properly. + Regulatory & External Audit Support + Assist in responses to ... an up-to-date list of eligible providers and ensure accurate reporting for HRSA recertifications and regulatory submissions. Qualifications/Requirements:… more
- American Express (New York, NY)
- …learnings, and external perspective + Manage end-to-end process governance and reporting related regulatory , risk, and compliance learning, Regulatory ... Self-Assessment (RCSA) program. + Create and maintain ongoing execution of enterprise regulatory , risk, and compliance learning reporting including a variety of… more
- M&T Bank (Buffalo, NY)
- …(data lakes, warehouses, ETL processes) and finance technology solutions (ERP, reporting tools, cloud-based financial systems). + Incorporate data analytics ... annual risk assessments, continuous auditing, and remediation plan validations. Communicate audit progress and findings to Bank management and oversee Auditors (as… more
- MTA (New York, NY)
- …as RCRA, TSCA, water and air quality regulations. Experience with environmental audits, regulatory reporting , and ensuring adherence to federal, state, and local ... and natural disasters. Conduct drills and training to strengthen response capabilities. Regulatory and Audit Oversight: Direct the preparation and submission of… more
- SMBC (New York, NY)
- …of risk oversight processes across SMBC entities. This includes committee governance, regulatory and audit engagement, and issue management. The VP is ... for ensuring timely, consistent, and high-quality preparation of materials for committee, regulatory , and audit submissions as well as timely escalation of… more
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