- TD Bank (Queensbury, NY)
- …service and advice activities and/or solutions while maintaining compliance and regulatory guidelines + Closely monitors workflows for the teller team and ... with our Customers/Prospects, provides financial advice, and deepens relationships through lead management activities to include the creation & management of… more
- TD Bank (New York, NY)
- …completion. **Depth & Scope:** + Works autonomously and accountable for acting as a lead within a specialized audit practice area and may provide work direction to ... guidance to various stakeholders and team members + May lead and/or provide supervisory oversight to complex audits and...the follow-up of findings arising from internal audits and regulatory reviews in accordance with policy + Oversees/leads the… more
- Mizuho Corporate Bank (New York, NY)
- …a transformative journey-redefining how compliance is architected, delivered, and scaled across a global enterprise. This role is a rare opportunity to lead the ... executing a comprehensive technology strategy that not only meets today's regulatory requirements but anticipates tomorrow's challenges. You'll work at the… more
- SMBC (New York, NY)
- SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, ... a diverse client base to local markets and the organization's extensive global network. The Group's operating companies in the Americas include Sumitomo Mitsui… more
- Manulife (New York, NY)
- …maintaining and enhancing the AML/KYC policies, procedures, and controls of the global Private Markets organization. In this role of Director, you will work ... Conduct routine AML/TF risk assessments including the evaluation of any external regulatory changes and/or changes to internal MCF policies and manage the… more
- Antech Diagnostics (New York, NY)
- …the ideal candidate will play a critical role coordinating with Mars Global teams in developing, implementing, and maintaining cybersecurity governance and risk ... while ensuring new and continuous compliance with Mars policies, standards and regulatory requirements. **Key Responsibilities:** + Assist Mars and SDx Leadership in… more
- Broadridge Financial Solutions (New York, NY)
- …to manage data privacy, user consent, and communication preferences in compliance with regulatory requirements. We are made up of high performing teams that meet in ... Broadridge officeandgiven the flexibility to work from home. Key Responsibilities: + Lead the execution of product vision, strategy, and roadmap for assigned fintech… more
- TD Bank (New York, NY)
- …role. **Job Description:** TD Securities Compliance team is seeking a Director-level candidate to lead the Surveillance Data Quality Team. This is a global role, ... timeliness of data used to detect market abuse, financial misconduct, and regulatory violations. The ideal candidate will have deep expertise in financial markets,… more
- TD Bank (New York, NY)
- …applicable to the discipline * Adhere to internal policies/procedures and applicable regulatory guidelines * Keep abreast of emerging issues, trends, and evolving ... regulatory requirements and assess potential impacts * Maintain a...escalation of issues * Network with other colleagues in Global Surveillance and the wider Compliance teams and showcase… more
- American Express (New York, NY)
- …of American Express. **How will you make an impact in this role?** ** Global Compliance and Ethics (GCE), is responsible for establishing and maintaining a robust ... tools, and procedures are effectively implemented and aligned to regulatory expectations and internal risk governance standards. **Key Responsibilities:** +… more