- SMBC (New York, NY)
- …Office of the CEO (CEOAD), Tokyo Home Office, Finance & Operations, Risk, HR, Internal Audit , and Technology. The Regulatory Governance team collaborates ... AD- or SMBC-level policies; + New business initiatives + Regulatory findings or recommendations; + Audit findings...and procedures to ensure consistency in achieving industry best practices and in minimizing regulatory risk. +… more
- HSBC (New York, NY)
- …ensure controls/procedures are designed effectively and operate robustly such that they meet internal and external audit and regulatory expectations + ... include, but are not limited to, Financial Reporting Risk, Regulatory Reporting Risk, Model Risk, Data Risk and People...Team, senior management in Global Finance, Enterprise Risk Management, Internal Audit , External Auditors and regulators +… more
- Tradeweb (New York, NY)
- …https://www.dol.gov/ofccp/regs/compliance/posters/pdf/eeopost.pdf **Group Details** Tradeweb is seeking a VP, Technology, Internal Audit to take on a key role ... within Tradeweb's growing Internal Audit Department. This role will report...+ Collaborate with the Business, Data Analytics and Professional Practices audit teams to develop and run… more
- SMBC (New York, NY)
- …technology audits, ensuring work is performed in accordance with IIA standards and Internal Audit Department (IAD) policies and procedures, and (ii) supporting ... areas of coverage for planning, development, implementation, and maintenance of an internal audit program covering cybersecurity and technology related areas… more
- HSBC (New York, NY)
- …framework and to ensure compliance with all relevant external laws & regulations, internal codes and policies and good market practices . With primary focus ... of Regulatory Compliance risk related compliance knowledge and best practice across US and the wider Compliance Function and Group Operational Effectiveness… more
- City National Bank (New York, NY)
- …the risk and control environment arising from risk assessments, risk monitoring, internal and external events, and regulatory exams Exhibit high attention ... units regarding the ORM framework, policies and procedures. Support and facilitate audit and regulatory exam activities Build effective relationships, alliances,… more
- Stony Brook University (Stony Brook, NY)
- …security, Office of Research Compliance, SBU Chief Privacy Officer, Office of Compliance, Audit and Privacy and other internal stakeholders to ensure that data ... reports to stakeholders. + **Compliance Monitoring:** + Monitor and audit data sharing practices to ensure ongoing...and data management. + **Training and Support:** + Educate internal staff and research teams on best practices… more
- RGP (New York, NY)
- …affiliate of RGP, is actively recruiting a Senior Manager within our Risk & Regulatory Compliance practice . Our Senior Managers lead teams of industry experts ... As a Senior Manager in Reference Point's Risk & Regulatory Compliance practice , you will lead strategic...Lead and manage client engagements focused on risk management, regulatory compliance, and audit remediation across banking,… more
- Stony Brook University (Stony Brook, NY)
- …back-up supervisory, phlebotomy, quality assurance, send-out testing processing and billing audit duties under the supervision of the Specimen Receiving and ... Phlebotomy Coordinator. Will maintain specific knowledge of safe laboratory practices as endorsed by the New York State Department of Health and Occupational Safety… more
- Neuberger Berman (New York, NY)
- …individual will ensure operational processes, governance structures, and risk management practices support both regulatory requirements and business objectives, ... control-focused lens + Partner with various business stakeholders to coordinate and manage internal / external audits and regulatory exams + Monitor industry and… more
