- Citigroup (Getzville, NY)
- …Technology, Prime Legal, Compliance (NY/NJ), Compliance Independent Assurance testing, and Internal Audit . Externally, this role regularly interfaces with ... COO, & CFO) as to the strength of the internal control framework (known as the 17a-5 Annual Compliance...role is also intensively involved in KPMG's annual 17a-5 audit of 15c3-3 Possession or Control. **Responsibilities:** + Lead… more
- M&T Bank (New York, NY)
- …from these activities. Represent the second line at regulator and/or Internal Audit discussions/examinations. + Implement departmental procedures within your ... Bachelor's degree and ten years' experience in compliance, legal, audit , risk or other relevant function, OR in lieu...work experience including ten years' experience in compliance, legal, audit , risk or other relevant function. Minimum of five… more
- Monro Muffler/Brake (Rochester, NY)
- …Loss Prevention with Investigations. + On occasion, collaborate with the Director, Internal Audit and operational functions to develop remediation activities. + ... to the Director of Operations Support, this individual will evaluate, inspect, audit , and determine the effectiveness of compliance and store operational tasks. This… more
- JPMorgan Chase (New York, NY)
- …questionnaires + Working collaboratively with control partners in governance, risk, compliance and internal audit + Representing the firm in front of C-level ... conducted on investment managers from either working within an audit firm (auditing hedge funds and/or private funds) or...funds) or working in the operations and / or audit departments of an asset management firm or in… more
- Cardinal Health (Albany, NY)
- …the ability to foster an inclusive and engaging culture. + Prior experience working with Internal or External Audit functions are a plus. + Deep knowledge of ... will lead a high-performing team and work cross-functionally with legal, privacy, audit , and IT stakeholders to ensure the organization maintains a strong and… more
- JPMorgan Chase (New York, NY)
- …Front Line Business Units, Risk, Compliance, Finance, Technology, Control Management, Legal, and Internal Audit , through the entire lifecycle of an exam. + ... the Business, Operations, Finance, Regulatory Reporting, Technology, Control Management, Legal and Internal Audit . + Work with the relevant businesses and… more
- KeyBank (Albany, NY)
- …risks. + Assist with supporting the LOB on complaint-related regulatory exam and internal audit activities. + Clearly document and communicate the results or ... lines of business, mid to senior level management, other internal clients and peers, and Audit . **Required Qualifications** + Bachelor's degree, CRCM a plus +… more
- American Express (New York, NY)
- …risk within a business or first line function. **Preferred Qualifications:** + Internal Audit experience in Compliance disciplines + Consulting experience at ... part in ensuring that day-to-day operations align with regulatory requirements and internal policies, working closely with both business and compliance partners. The… more
- TD Bank (New York, NY)
- …Global Control Room and Compliance broadly to respond to regulatory inquires and internal audit requests, including, requests for data, and exam inquiries as ... to Global Control Room. + **Issues Management:** Track and manage Regulatory and Audit Findings related to Global Control Room to ensure that such findings are… more
- KeyBank (Amherst, NY)
- …senior level management, other internal clients and peers, and internal audit . **Required Qualifications** + Education/Background: Bachelor's degree, + ... management, private banking, securities, etc.) compliance, risk management, and/or internal or external audit experience with a...compliance, risk management, and/or internal or external audit experience with a strong focus on risks and… more