- RGP (New York, NY)
- …years of experience performing Internal Audit, IT Audit, Risk and Controls and/or Regulatory Remediation within Major Financial Services firms (Banking, ... one or more of the following areas within large Financial Services Firms: Internal Audit, SOX &... and Operational Risk Audit, Audit of Banking Products, Regulatory or Compliance Audits (e. . BSA,… more
- TD Bank (New York, NY)
- …and challenge of first line controls; + End to end completion of the regulatory compliance risk assessment which includes review and challenge of inherent risk ... + Proactively advises the business of new and changed Compliance regulatory and/or policy changes + Formulates...banking experience or are just starting your career in financial services , we can help you realize… more
- TD Bank (New York, NY)
- …details for this role. **Job Description:** **Preferred Qualifications:** TD Securities' Regulatory Compliance Management Framework (RCM) is implementing new ... its strong risk culture and strategic approach to managing regulatory compliance risk. This is a newly...or regulator. + Knowledge of wholesale banking products and services , operations, regulatory frameworks (eg, applicable rules… more
- Ankura (New York, NY)
- …of industry trends, regulatory changes, and emerging technologies within the financial services sector. + Actively participate in team meetings and ... is a team of excellence founded on innovation and growth. Opportunity Ankura's Financial Services Advisory Practice is seeking highly motivated Senior Associates… more
- American Express (New York, NY)
- …Minimum 5- 7 years experience in Compliance or related activities, within the financial services industry. + Prior banking industry, compliance , legal or ... part of the New Product Governance process to assess compliance risks and ensure adherence with regulatory ...General Counsel's Organization, Operational Risk, Financial Crimes Compliance , and Privacy Office. + Review vendor services… more
- Raymond James Financial, Inc. (New York, NY)
- …preferred. Minimum of fifteen (15) years of Compliance , Legal, Banking and/or regulatory experience in the financial services industry. + A minimum ... for the Capital Markets division. This role requires significant industry expertise, regulatory acumen, and leadership skills to manage compliance functions,… more
- Axis (New York, NY)
- …laundering (AML), trade sanctions, conflicts of interest, fair market conduct, and financial crime prevention. * Conduct ongoing compliance risk assessments to ... identify potential exposure areas in broker relationships and implement mitigating controls. Regulatory & Licensing Compliance : * Ensure that all appointed… more
- Santander US (New York, NY)
- …in Business, Finance or equivalent field. Pref Work Experience: Compliance , Legal, Regulatory , or Financial Services ., 5+ Years Pref Knowledge of BSA/AML ... Analysis Model Risk Skills and Abilities: Experience of Data Science projects within Financial Services (experience within Compliance preferred) Knowledge of… more
- AECOM (New York, NY)
- …simultaneously. + May be engaged in hiring subcontractors, monitoring change orders, regulatory compliance , financial reporting, negotiating solutions to ... a better time to be at AECOM. With accelerating infrastructure investment worldwide, our services are in great demand. We invite you to bring your bold ideas and… more
- WMCHealth (Valhalla, NY)
- …Summary: The 340B Program Compliance Analyst is responsible for maintaining regulatory compliance within the 340B Program across all WMCHealth entities. This ... liaison to key stakeholders, ensuring proper utilization of the 340B program and compliance with all regulatory requirements in conjunction with the 340B Program… more
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