- Neuberger Berman (New York, NY)
- …and assess the control environment, identify strengths and weaknesses of internal controls , and recommend enhancement opportunities to mitigate risk + ... work in close collaboration with other members of the Internal Audit department, Legal & Compliance , Operations,...to conduct integrated audits for bother operational and technical controls + Prepare and present audit reports with findings… more
- Bowery Residents Committee (Manhattan, NY)
- …aspects of professional internal auditing work. Responsible for determining whether internal control functions and processes at BRC are efficiently and ... user security review documentation and coordination. + Prepares and updates comprehensive internal control documentation and works with process owners to… more
- New York State Civil Service (Albany, NY)
- …emerging risks; * Conducts risk-based assessments of applicants' and Licensees' governance, compliance , and internal audit controls ; BSA/AML program; ... regulations, and best practices;* Cybersecurity laws, regulations, and issues;* Governance / internal controls ;* Financial analysis;* Accounting; and* The use of… more
- CIBC (New York, NY)
- …to address existing and new regulatory requirements; + Coordinating US regulatory exams, compliance exams and audits by Internal Audit; + Assisting in the ... Internal Audit staff during regulatory exams and audits ** Compliance Requirements/Responsibilities:** + As an employee of CIBC, the...CIBC and Line of Business policies, standards, guidelines and controls ; + As a Compliance Officer, this… more
- University of Rochester (Rochester, NY)
- …ongoing relationships with regulatory commissions/authorities. Coordinates and conducts the assessment of internal controls to ensure compliance as required ... to detail, ensuring accurate records are maintained. Preferred Qualifications: + Export Control : Ability to monitor and ensure compliance with US export… more
- TD Bank (New York, NY)
- …regulators + Solid understanding of technology's role in the business and compliance controls + Effective negotiation and influencing skills with experience ... compliance program with effective program elements that mitigate areas of compliance risk and establish sustainable controls commensurate with the risk… more
- TD Bank (New York, NY)
- …notes, and any other required documentation to effectively report on the status of Compliance + Represents Compliance on internal or external committees ... can provide you more specific details for this role. **Line of Business:** Compliance **Job Description:** **Department Overview:** **Why Work with Us?** At TD Bank… more
- American Express (New York, NY)
- …in financial services. + Foundational understanding of risk assessment principles, regulatory compliance , and internal control frameworks. + Highly organized ... will you make an impact in this role?** **Global Compliance and Ethics (GCE), is responsible for establishing and...ensures American Express is adhering to laws, regulations, and internal policies while fostering a culture of integrity and… more
- Amazon (New York, NY)
- …Compliance Manager who will be responsible for supporting our global export compliance program and drive export control initiatives and implementations. As ... - Provide strategic expertise on US and global export regulations and advise internal business customers on compliance program initiatives including the Export… more
- Raymond James Financial, Inc. (New York, NY)
- …and implementing targeted training programs. + Conduct ongoing reviews of compliance controls , recommending enhancements to optimize efficiency while maintaining ... strategies accordingly. + Collaborate effectively with leadership, regulators, and internal stakeholders to drive compliance excellence. **Educational/Previous… more