• Senior FCRM High Risk Reviews Analyst

    TD Bank (New York, NY)
    …business management, and with internal and external business partners (eg, Internal Audit , external consultants) to respond to regulatory requests, findings, ... objective and independent opinions on the adequacy of AML/ATF/Sanctions/ABAC processes and controls in accordance with regulatory and internal requirements, and… more
    TD Bank (05/06/25)
    - Related Jobs

  • Director, Head of Surveillance

    Capital One (New York, NY)
    …reduce and identify risks related to market abuse through the management of controls and reviews over the trades, orders and communications of employees that carry ... (equity trading & fixed income (ABS)). + Oversee the execution of daily controls on trades, orders and communications, ensuring appropriate quality control and… more
    Capital One (05/08/25)
    - Related Jobs

  • Operational Resilience Governance and Oversight…

    Bloomberg (New York, NY)
    …to evolve. We are looking for a First Line OpRes Control and Reporting Manager , responsible for managing the lifecycle of controls owned by or supporting the ... internal stakeholders to develop, prioritize, and build out control frameworks + Conduct risk assessments to identify both...risk management agenda including Enterprise Risk, Legal and Compliance, Internal Audit You'll need to have: +… more
    Bloomberg (03/20/25)
    - Related Jobs

  • Director of Accounting

    Whitney Young Health Center (Albany, NY)
    …and regulations. + Establishes best practices in developing, implementing and enforcing internal controls to safeguard assets and ensure proper accountability. + ... organization, by establishing, maintaining and improving financial policies, procedures, controls and reporting systems. Ensures legal and regulatory compliance for… more
    Whitney Young Health Center (04/25/25)
    - Related Jobs

  • Investment Due Diligence Analyst

    City National Bank (New York, NY)
    …WHAT IS THE OPPORTUNITY? This position will work directly with the CNR Manager Research team to support and assist in Investment and Operational Due Diligence ... resources throughout the organization, this team will conduct and/or oversee the manager research and due diligence efforts for approved mutual funds, exchange… more
    City National Bank (05/07/25)
    - Related Jobs

  • Operational Risk Mgr I - Workout

    TD Bank (New York, NY)
    …and Internal Loss Event Data), Remediation of Regulatory Findings and Internal Audit findings, self identified findings as well as Sarbanes-Oxley, Business ... of Business:** Risk Management **Job Description:** **The Operational Risk Manager I** provides a broad range of risk analysis,...with key internal and external partners. Enhances internal controls , expense management and quality assurance… more
    TD Bank (05/07/25)
    - Related Jobs

  • Lead Contract Compliance Analyst

    University of Rochester (Rochester, NY)
    …relationships with regulatory commissions/authorities. Coordinates and conducts the assessment of internal controls to ensure compliance as required by ... violations of contract terms, recommend corrective actions, and ensure resolution. + ** Audit Management** : Oversee and coordinate internal and external audits,… more
    University of Rochester (03/17/25)
    - Related Jobs

  • Cybersecurity Automation Team Lead

    M&T Bank (Buffalo, NY)
    …Maintain M&T internal control standards, including timely implementation of internal and external audit points together with any issues raised by ... in accordance with the Company's Risk Appetite. Design, implement, maintain, and enhance internal controls to mitigate risk on an ongoing basis. Identify… more
    M&T Bank (05/01/25)
    - Related Jobs

  • Prime Brokerage Market Risk

    CIBC (New York, NY)
    …of financial products. This position interfaces with traders, operations, financial control , audit , technology, middle office, and other departments within ... the Strategic Business Units (SBUs) in the measurement, monitoring and control of market, trading, operational and trading credit risks, maintaining consistent… more
    CIBC (04/15/25)
    - Related Jobs

  • Compliance Tester III - Retail Bank

    Capital One (New York, NY)
    …GED or equivalent certification** + **At least 3 years of experience in audit , compliance, risk management, controls , or transaction reviews** + **At least ... Testing team. The Compliance Tester III will execute risk-based control reviews under the leadership of a team lead,...of business, the regulatory risks that business faces, and internal processes. You will collaborate with an experienced and… more
    Capital One (05/02/25)
    - Related Jobs