- HUB International (New York, NY)
- …Investment Adviser Act of 1940; + Assist in conducting ongoing compliance reviews, internal investigations and surveillance to evaluate and test for compliance ... with applicable SEC rules, regulations, and internal policies; + Recommend workable action plans for identifying...RPW RIAs. + Assist in document collection related to internal and external examinations by auditors and regulators; +… more
- NBC Universal (New York, NY)
- …and other key stakeholders. + Support legal counsel in conducting and tracking internal investigations , audits, and remediation efforts. + Bachelor's degree or ... of compliance-related documentation, such as procedures, training materials, and internal communications. + Monitor internal compliance communication channels… more
- Arc Allegany-Steuben (Hornell, NY)
- …provide quality of life choices. + Build positive professional relationships internal and external. + Demonstrate professionalism through various community outreach ... Contacts with Others + Develop and maintain positive relationships both internal and external entities. This includes family, local businesses, and service… more
- Claxton-Hepburn Medical Center (Carthage, NY)
- …to managers regarding employee performance, discipline, and development. + Coordinate internal investigations in partnership with Employee Relations, when ... + Ensure compliance with federal, state, and local labor laws as well as internal HR policies and procedures. + Manage HR metrics and dashboards for the site… more
- American Express (New York, NY)
- …within the business, ensuring compliance with applicable laws, regulations, and internal policies. + Design and implement financial crime risk frameworks, processes, ... and awareness initiatives across the business. + Lead or participate in investigations or events involving suspicious activity, sanctions exposure, or internal … more
- City of New York (New York, NY)
- …Each year, the agency's Division of Child Protection conducts more than 55,000 investigations of suspected child abuse or neglect. In juvenile justice, ACS manages ... flexible in response to emergencies. Other responsibilities include: - Work with internal and external stakeholders to ensure that analyses are accurate, measurable,… more
- Siemens Energy (Olean, NY)
- …services case queues by reviewing fleet data and answering questions asked by internal and external customers. + Provide technical support and leadership for root ... cause investigations , inspection and repair quote support to the marketing...+ Problem-solving mentality and the ability to collaborate with internal and external business partners to create solutions. +… more
- TD Bank (New York, NY)
- …on implementing and documenting various supervisory/control mechanisms. + Participate in internal investigations , respond to regulatory inquiries, and coordinate ... senior/executive management. + Key contact for business management, regulators and external/ internal auditors, dealing with a broad range of issues including… more
- TD Bank (New York, NY)
- …policies and procedures. + Provide regulatory/compliance training. + Participate in internal investigations , respond to regulatory inquiries, and coordinate ... a functional area + Key contact for business management, regulators and external/ internal auditors, dealing with non-routine information + Focuses on short to mid-… more
- Regeneron Pharmaceuticals (Rensselaer, NY)
- …testing, compendia testing, and method transfer to or from other internal sites, partners companies, and contract manufacturing companies. Experience in gene ... and transfer processes. + Maintain open communications with scientist including internal , partner and contract manufacturing organizations. + Provide direction to… more