- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $150,000 - $185,000 USD TD is committed to providing fair ... you more specific details for this role. **Job Description:** The Global Compliance Surveillance Department is responsible for overseeing regulatory compliance … more
- SMBC (New York, NY)
- … with expertise in US securities, laws and regulations. + Proactively engage with Compliance , Legal and other control function colleagues to enhance the overall ... portfolio of benefits to its employees. **Role Description** The SMBC Compliance Advisory Function resides within Compliance Department Americas Division… more
- TD Bank (New York, NY)
- …team and colleagues; and promote and monitor staff adherence to approved internal Compliance policies, procedures, standards and guidelines, in addition to ... plus. **KEY ACCOUNTABILITIES** **CUSTOMER** + Oversee a function of enterprise Compliance Program professionals providing oversight and control related advisory… more
- Wellington (New York, NY)
- …outside the private investments businesses, ensuring robust information governance and compliance with internal information barrier protocols + Contribute to ... with those of our clients. **About the Role** The Senior Compliance Analyst will support Wellington Management's Global Private Investments Compliance… more
- Mizuho Corporate Bank (New York, NY)
- …timely and appropriate manner. + Compliance Testing: Coordinating ALCD compliance testing. + Internal /External Audits: Working closely with audit ... function serving Japanese corporate clients in the US The Compliance and Risk Management Unit, part of the Planning...to ensure ACBD1 remains fully compliant with the bank's internal policies and procedures. + Supporting the Unit Head… more
- Capital One (New York, NY)
- …on the effectiveness and efficiency of Capital One's governance, risk management, and internal control processes. + You possess a relentless focus on quality ... Principal Auditor (Experienced Senior Auditor) Corporate Compliance Audits (Hybrid) Capital One's Audit function is a dedicated group of professionals focused on… more
- Capgemini (New York, NY)
- …by embedding automation, analytics, and emerging technologies into risk and compliance processes, enhancing oversight and control . + Manage cross-functional ... **Senior Manager** in our **Banking** team focused on **Finance, Risk & Compliance ** , you will lead transformation programs that strengthen governance, control… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $100,000 - $135,000 USD TD is committed to providing fair ... you more specific details for this role. **Job Description:** The TDS US Compliance team is looking for Associate candidates to join the trade surveillance team.… more
- SMBC (New York, NY)
- … compliance policy documents adhering to regulatory expectations and internal standards. + Manage the policy lifecycle from drafting through publication, ... and maintain records of all stages to demonstrate compliance with our internal processes and regulatory expectations. + Drive consensus among SMEs and other… more
- Navient (Albany, NY)
- …the right financial track, fast. We build tools that help people feel in control of their financial future, including: + **Private student loans** - low rates, ... a **Senior Product Manager** to **lead product strategy for internal tools and operational enablement** , with a focus...to the front lines. + Ensure system resilience and compliance , working proactively with Legal, Risk, and InfoSec to… more