- American Express (New York, NY)
- …and guidance to ensure awareness and understanding of CRA expectations. + Support regulatory exams, internal audit reviews, and issue remediation activities ... for Compliance, Risk Committees, and senior leadership. + Monitor regulatory developments and industry best practices to...+ 10 years of experience in Compliance, Risk Management, Internal Audit , or a related field within… more
- American Express (New York, NY)
- …(Enterprise Data Office), 2nd (Enterprise Data Risk Management), 3rd ( Internal Audit ) line of defenses, Technology, and Regulatory Reporting teams to ensure ... and appropriate controls and documentation exists to stand a regulatory or internal examination or audit...14A, FR2052a, FORM 10K/Q) + Knowledge of data governance practices , business and technology issues related to management of… more
- American Express (New York, NY)
- …appropriate for the business activities and inherent compliance risks. + Support regulatory examinations, internal audit reviews, Compliance monitoring and ... more effectively. + Promote the usage of industry and internal best practices and incorporating regulatory...like global Business Unit in scope and complexity preferred; Audit , legal experience, or equivalent work experience considered. *… 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
- Citigroup (New York, NY)
- …Citi on critical regulatory matters as required. Serves as liaison with regulatory examiners, Internal Audit , and external auditors on critical ... is responsible for check and challenge of the businesses, establishing internal strategies, policies, procedures, processes, and programs to prevent violations of… more
- Bank of America (New York, NY)
- …line with expectations on completeness, accuracy, and timeliness * Executes control practices , including compliance with all regulatory and policy requirements, ... regulatory reports * Supports the response to regulatory agencies and internal control partners on...with a mature approach to work **Desired Skills:** * Audit experience * Knowledge of key regulatory … more
- Citigroup (New York, NY)
- …of key markets-wide E-Trading initiatives and remediation of corrective actions arising from Regulatory and Internal Audit findings. + Design, deliver, and ... + Lead reviews by global banking and securities regulators, Compliance testing, and Internal Audit of E-Trading business, including preparation of responses to… more
- TD Bank (New York, NY)
- …and scalability + Strong regulatory remediation partnership to drive through Internal Audit Validations and Governance standards. + Responsible aligning all ... all parties while driving remediation + Prior experience with delivering major regulatory programs, audit validation, and/or infrastructure implementations is an… more
- Mount Sinai Health System (New York, NY)
- …maintaining electronic regulatory binders. This position ensures that all regulatory documentation is accurate, current, and audit -ready, while collaborating ... **Job Description** The Regulatory Assistant II plays a vital role in...documents, including SOPs and administrative files, are maintained in audit -ready condition. + Assist to complete required forms specific… more
- Citigroup (Getzville, NY)
- …with internal and external stakeholders, including regulators, testing teams, and internal audit , with respect to Citi's global swap and security-based swap ... Business Acumen, Change Management, Communication, Data Analysis, Financial Acumen, Internal Controls, Issue Management, Problem Solving, Regulatory Reporting.… more