- Raymond James Financial, Inc. (New York, NY)
- …and assists in developing processes and procedures to ensure adherence to regulatory requirements. + Performs periodic reporting on compliance and operational ... Financial Industry Regulatory Authority (FINRA), state securities and banking regulatory agencies, Federal Deposit Insurance Corporation (FDIC), Office of… more
- Heritage Financial Credit Union (Middletown, NY)
- …of 3+ years of progressive experience in internal audit, risk management, or regulatory compliance , preferably within a financial institution or credit union. + ... such plays a critical role in assessing the organization's risk landscape, ensuring compliance with regulatory requirements, and fostering a strong culture of… more
- Otsuka America Pharmaceutical Inc. (Albany, NY)
- …planning, execution, and follow-up of internal and external audits to ensure compliance with regulatory requirements. + ** Regulatory Authority Engagement:** ... trial and submission support, lead the R&D audit program, engage with regulatory authorities, and maintain clinical data integrity. The leader will be responsible… more
- NBC Universal (New York, NY)
- …is expected to be completed during 2025. The Counsel, Litigation and Regulatory will be responsible for handling disputes, advising internal business clients, ... in collaboration with outside counsel. The Counsel, Litigation and Regulatory will work on a wide range of matters,...+ Conduct fact investigations in connection with litigation and compliance matters + Manage and collaborate with outside counsel… more
- American Express (New York, NY)
- …impact in this role?** The American Express Global Financial Crimes Compliance (GFCC) function provides second-line policy, framework, oversight and control ... solutions to meet the Company's legal, regulatory and risk management mandates in connection with Anti-Money...(TPS) will lead efforts multiple integrated workstreams to enable compliance with the firm's Financial Crime Risk Management Policy… more
- WMCHealth (Valhalla, NY)
- …providers. The technician ensures that all activities are performed in compliance with regulatory guidelines, policies, and procedures. Responsibilities: + ... Operational Support: + Accurately prepare new and refill prescriptions, ensuring compliance with Specialty Pharmacy policies and regulatory guidelines +… more
- Humana (Albany, NY)
- …and assess the impact of changes in tax laws, accounting standards, and regulatory guidance, particularly those affecting health insurance and health care ... 740 and SSAP 101, supporting our financial integrity and regulatory obligations. The ideal candidate will bring deep technical...under ASC 740 and SSAP 101, ensuring accuracy and compliance with US GAAP and statutory accounting principles. +… more
- Wells Fargo (New York, NY)
- …of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively following and adhering to ... an application for a dwelling secured transaction. As such, this position requires compliance with the SAFE Mortgage Licensing Act of 2008 and all related… more
- American Express (New York, NY)
- …risk management policies and procedures, and implement corrective actions as needed. + Regulatory Compliance : + Stay abreast of evolving regulatory ... overseeing and enhancing the organization's model risk governance framework, ensuring compliance with regulatory requirements (eg, SR 11-7), and effectively… more
- CSL Plasma (Cheektowaga, NY)
- …role will ensure compliance to training needs, SOPs, processes and other regulatory or company directives are adhered in order to support the operations and ... Manager of Quality in monitoring plasma center processes to ensure overall compliance with CSL Operating Procedures, as well as all applicable local, state,… more