- 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 ... the front office and other groups globally to mitigate risk and deliver world class service to our global...Trading Desk, Sales Desk, Clearance, Technology, Credit, Legal & Compliance and Trade Accounting + Ensure clarity and urgency… more
- Citigroup (Getzville, NY)
- … Compliance (NY/NJ), Compliance Independent Assurance testing, and Internal Audit . Externally, this role regularly interfaces with representatives from ... team, which is responsible for executing daily controls to mitigate the inherent risk of non- compliance with the SEC's Client Asset Protection rule (15c3-3),… more
- University of Rochester (Rochester, NY)
- …education, experience, qualifications, expertise of the individual, and internal equity considerations._ **Responsibilities:** GENERAL PURPOSE Conducts regular ... audits of on-campus and off-campus dining and retail locations to ensure compliance with local safety regulations, Monroe County Health Department standards, and… more
- Binghamton University (Binghamton, NY)
- …processes and systems, and implement appropriate systems, procedures, and policies for internal controls; + serve as in-house financial compliance expert and ... practices, with a track record of overseeing accurate financial reporting, regulatory compliance , and audit readiness; + excellent written and oral communication… more
- Bausch + Lomb (Rochester, NY)
- …ensure accurate accounting and identify cost-saving opportunities. + Ensure SOX compliance through documentation, maintenance, and testing of internal financial ... operational, and KPI reports to internal stakeholders. + Coordinate internal and external audit activities, including preparing schedules and fulfilling… more
- M&T Bank (Buffalo, NY)
- …new methodologies within team. + Create configuration scanning plans that ensure compliance with internal policies and best practices; lead configuration ... and regulatory standards, policies, and controls in accordance with the Company's Risk Appetite. Design, implement, maintain, and enhance internal controls to… more
- HSBC (New York, NY)
- …as an industry expert who provides valuable market and sector-related insight to both internal and external stakeholders + Ensure all audit , legal and regulatory ... RWAs, balance sheet usage, and appropriate management of financial and non-financial risk + Create an inclusive and customer-centred culture across the region by… more
- City National Bank (New York, NY)
- …* Act as the business teams' liaison for business line risk management, compliance activities, legal engagement, and internal or external audits. * Act as a ... Facilitate audit and examination activities. * Cultivate and grow risk talent within the organization through coaching, mentoring, and occasionally assisting… more
- M&T Bank (Buffalo, NY)
- …appropriate systems, while adhering to Department procedures, Corporate policies, and Compliance , Audit and Legal requirements. **Primary Responsibilities:** + ... brand. + Maintain M&T internal control standards, including timely implementation of internal and external audit points together with any issues raised by… more
- TD Bank (New York, NY)
- …Trading portfolios are complete + Maintains required documentation for internal audit + Demonstrates governance, control and risk management behaviors in ... Bank is adequately protected from legal, credit, business, and compliance risk in all of its trading...+ Prepares monthly reports + Maintains required documentation for internal audit + Prepares other related materials… more