- TD Bank (New York, NY)
- …+ 7+ years of experience in Surveillance Quality Assurance or Internal Audit (covering compliance surveillance, and/or risk and control functions) at ... across TD Securities, including Markets sales and trading leaders, Technology, Advisory Compliance , and Risk functions. The incumbent provides strategic guidance… more
- TD Bank (New York, NY)
- …evolving regulatory requirements to and assesses potential impacts + Handles inquiries/requests from Internal Audit and regulators + Maintains a culture of ... ("FCRM") program that meets regulatory requirements and mitigates financial crime risk . This involves providing guidance on regulatory compliance , close… more
- MUFG (New York, NY)
- …of issues and partner with stakeholders in opening issues ( Audit / Compliance /Management Identified)Completing Issue Closure TemplatesAcquiring the necessary ... Management (ORM) Team + Monitor and evaluate emerging risk , internal operational trends, and external ... events for potential impact to control environment + Audit / Compliance + Assist in Preparation/Maintenance/Tracking of … more
- Datavant (Albany, NY)
- …care management platforms, and third party integrations. + Balance innovation with compliance , audit defensibility, and clinical integrity across all product ... industry conversations on emerging regulations and best practices related to prospective risk capture and concurrent review. ** Compliance & Quality:** + Partner… more
- Highmark Health (Buffalo, NY)
- …and alternative strategies to mitigate concerns over operational performance and program compliance . + Actively collaborates and presents with Risk Partner and ... and regulator meetings (Insurance Department, HHS/CMS, Department of Health) on key risk and compliance related activities, issues, and remediation, promoting… more
- Scotiabank (New York, NY)
- …and internal controls to review overall health of the business; + Support Internal Controls in completing compliance risk assessments (eg, RCSA, CRCA, ... in the collation of information required by regulators and internal audit to facilitate the latter's examinations/reviews;...business controls to meet obligations with respect to operational risk , regulatory compliance risk , AML/ATF… more
- M&T Bank (Buffalo, NY)
- …of Technology and Cybersecurity Risk , and internal partners such as the Risk Division, Internal Audit , and Regulatory Affairs. + Work is accomplished ... and continually assessing regulation and standards to achieve industry-leading technology risk compliance . + Spearhead collaboration among cross-functional teams… more
- M&T Bank (Buffalo, NY)
- …degree and a minimum of 9 years' relevant work experience in technology, cybersecurity, risk , audit , compliance , or other relevant function, OR in lieu ... M&T Bank is seeking an experienced Technology and Cybersecurity Risk Oversight Senior Manager focused in the areas of...status updates. Serve a departmental representative in discussions with Internal Audit . + Oversee the design and… more
- SMBC (New York, NY)
- …+ Drive discussions with Analytics, Model Validation, IT, Front Office, Operations, Risk , Legal, Compliance , and other key stakeholders to identify, prioritize, ... CCR function and build a comprehensive CCR framework in compliance with SR 11-10 and BCBS CCR guidelines. The...trading desks. + Effectively communicate with team members, senior risk management, and audit on strategies related… more
- CIBC (New York, NY)
- …CIBC LOBs and Capital Markets infrastructure partners (ie Finance, Operations, Technology, Risk Management, Compliance , Privacy, Audit ), regarding CIBC's ... Capital Markets Front Office teams, and the Infrastructure and Risk / Compliance Partners. The Team supports the...people, technology, processes or external events that arise from audit and control testing. The role applies advanced concepts… more