- American Express (New York, NY)
- … compliance risk assessments and control self-assessments + Support regulatory exam readiness, issue remediation, and corrective action planning + Coordinate ... impact in this role?** We are seeking an experienced and strategic Director, Compliance to lead compliance risk identification, management, and mitigation across… more
- Raymond James Financial, Inc. (New York, NY)
- …(SEC); Financial Industry Regulatory Authority (FINRA); state securities regulatory agencies; Federal Deposit Insurance Corporation (FDIC); Office of ... **Essential Duties and Responsibilities** + Oversees compliance and risk-related training and education processes in collaboration with internal stakeholders. +… more
- American Express (New York, NY)
- …with digital and mobile banking products & platforms preferred. + Certified Regulatory Compliance Manager (CRCM) or similar professional certification preferred. ... Compliance oversight, guidance and challenge to business stakeholders on compliance / regulatory requirements applicable to consumer deposit products 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
- NASCO (Albany, NY)
- …and ACA Exchanges business + Interacts with vendors and customers on legal and regulatory issues + Serves as our Compliance Official; supports compliance ... compliance stakeholders including product teams and HR to deliver clear regulatory guidance, effective compliance training and awareness campaigns. Creates… more
- Access: Supports For Living (Middletown, NY)
- …PRIMARY RESPONSIBILITES: This position supervises the daily QA/QC, Quality Improvement, Regulatory , Safety and Compliance activities that support all corporate ... Work Plan + Co-Chairs the Compliance Committee, conducting compliance investigations, publishing regulatory guidance updates, identifying compliance… more
- The Rare Wine Co. (Brooklyn, NY)
- …keen eye for detail, outstanding communication skills, and a thorough understanding of regulatory frameworks. The Compliance Associate will play a crucial role ... excise tax reports for relevant jurisdictions. Documentation and Reporting: Maintain compliance documentation and regulatory databases to ensure up-to-date,… more
- Citigroup (New York, NY)
- …of policies, resolution of potential red flags or other client/transaction-related compliance escalations. + Representing Citi on critical regulatory matters ... Serves as a senior function/business/product compliance risk officer covering North American Cash Equities Sales and Trading businesses. The role is responsible for… more
- Aflac (New York, NY)
- …limits. + Conduct daily review and monitoring of pre-trade and batch portfolio compliance alerts with respect to regulatory and internal rules and restrictions ... + Prepare management reporting. + Ensure that identified errors, improper conduct, compliance exceptions to regulatory or policy requirements receive appropriate… more
- CIBC (New York, NY)
- …designed to evaluate the design and effectiveness of business controls in meeting regulatory compliance . This position primarily supports the US Capital Markets ... **Employment Type** Regular **Weekly Hours** 40 **Skills** Compliance Reporting, Compliance Testing, Decision Making, Regulatory Compliance , Risk… more