- SMBC (New York, NY)
- …thematic reviews and portfolio-level assessments. + Support regulatory and internal audit engagements related to credit risk . + Maintain up-to-date knowledge ... range of commercial and investment banking services to its corporate , institutional, and municipal clients. It connects a diverse...ratings and evaluate the alignment of the bank's credit risk management practices with internal policies &… more
- KeyBank (NY)
- …Crimes Risk Management and LOB contacts. + Monitor the Corporate Compliance mailbox, ensure timely responses to email inquiries, retain applicable records. ... experience in financial institution (i. e., bank and securities industry), compliance, Risk Management, or audit related activity + Strong organizational skills.… more
- TD Bank (New York, NY)
- …asset classes, and regions. The team is also the point of contact for key internal partners including Algo Risk Control (ARC), Model Risk , Model Validation, ... TDS Governance & Controls team (TDS G&C) is accountable to perform the 1B risk function (1st Line of Defense) supporting all TD Securities (TDS) businesses including… more
- KeyBank (NY)
- …Prior experience in financial institution (i. e., bank and securities industry), compliance, Risk Management, or audit related activity + Ability to multi-task + ... Laundering (AML) and Office of Foreign Assets Control (OFAC) Risk Assessments and related processes, procedures, and controls. Work...knowledge of AML/BSA and OFAC risks. + Function as corporate subject matter expert resource for complex laws and… more
- MTA (Jamaica, NY)
- …Senior Manager with the RSA Archer System and support and manage Internal /External Audits, GRC RSA Archer software, recommendations, Corporate Policies and ... knowledge of MTA operations and business activities. + Detailed knowledge of Corporate Compliance programs especially internal control standards, corporate … more
- TD Bank (New York, NY)
- …all matters of confidentiality + Analyzes service delivery issues and conduct internal /external research projects and/or contribute to audit reviews; run ... wide range of capital market products and services to corporate , government and institutional clients. The firm works with...the front office and other groups globally to mitigate risk and deliver world class service to our global… more
- TD Bank (New York, NY)
- …and participate in improvements implementation** + **Support testing engagements from Internal Audit , Compliance Quality Assurance, and others** **Job Summary:** ... + **Professional experience in a governance related field (eg Compliance, Risk Management, AML, Legal, Audit )** **Customer Accountabilities:** + Proactively… more
- BMO Financial Group (New York, NY)
- …(financial, non-financial and transverse) across the organization. + Monitor compliance with internal risk management policies, standards and directives + Ensure ... Capital Markets is a leading, full-service financial services provider. We offer corporate and investment banking, treasury management, as well as research and… more
- TD Bank (New York, NY)
- …to review and assess whether the Business is adhering to internal ( risk management, oversight function and audit ) and regulatory requirements, requests, and ... and Control team is a first line of defense team responsible for providing risk and compliance advice and oversight to ensure our TDS business partners have… more
- Axis (New York, NY)
- …regulatory frameworks including NYDFS, DORA, and other jurisdictional requirements. + Lead internal and external audit engagements related to business continuity ... **Cross-Functional Collaboration** + Partner with IRM Security, Disaster Recovery, Operational Risk , Enterprise Risk , Audit /Compliance, and Communications to… more