- HSBC (New York, NY)
- …work location. Qualifications + Substansial experience as a regulator, or a senior compliance manager across all areas of Compliance risk within a global firm, ... ensure compliance with all relevant external laws & regulations, internal codes and policies and good market practices. With...formal accountancy qualification or professional background in a relevant risk or audit discipline As an HSBC… more
- TD Bank (New York, NY)
- …and scalability + Strong regulatory remediation partnership to drive through Internal Audit Validations and Governance standards. + Responsible aligning ... approach and execution. The team partners closely with senior leaders across departments Risk , Legal, HR, Compliance, Audit and will work in close alignment… more
- Citigroup (New York, NY)
- …Operations on critical sanctions matters as required. Serves as liaison with Internal Audit , and Compliance Assurance Teams on critical Compliance issues ... model across Services lines of business (d) Build strong risk / controls focus, ensure minimal surprises and (e)...**Role** This role serves as the senior Services Operations manager directly managing a team of ~300+ (for payments)… more
- City National Bank (New York, NY)
- …and communicate recommendations that support adherence to regulations, industry best practices and internal risk programs * Partners with other business units on ... internal control standards, including timely implementation of internal and external audit points together with...affairs. * For Banking Compliance related roles, Certified Compliance Risk Manager (CRCM). * For Wealth Management… more
- TD Bank (New York, NY)
- …to review and assess whether the Business is adhering to internal ( risk management, oversight function and audit ) and regulatory requirements, requests, and ... a first line of defense team responsible for providing risk and compliance advice and oversight to ensure our...procedures. + Partner with Business to proactively prepare for internal / regulatory requests, testing engagements, exams, and reviews.… more
- SMBC (New York, NY)
- …Group (SPG), Office of the CEO (CEOAD), Tokyo Home Office, Finance & Operations, Risk , HR, Internal Audit , and Technology. The Regulatory Governance team ... of contact for facilitating efficient coordination between CPAD Advisory and other internal support functions, including CPAD Central Functions, Strategic Planning… more
- Bank of America (New York, NY)
- …external PEF clients, internal business partners including Sales, Structuring & Trading, Risk counterparts, Legal and Audit Function + Risk monitoring: ... compliance, and collateral appraisals to ensure compliance with the bank's risk appetite. Job expectations include completing regular monitoring and underwriting… more
- TD Bank (New York, NY)
- …to review and assess whether the Business is adhering to internal ( risk management, oversight function and audit ) and regulatory requirements, requests, and ... a first line of defense team responsible for providing risk and compliance advice and oversight to ensure our...the Program. + Support Volcker program in preparing for internal / regulatory requests, testing engagements, exams, and reviews.… more
- M&T Bank (Buffalo, NY)
- … and regulatory standards, policies, and controls in accordance with the Company's Risk Appetite. Design, implement, maintain, and enhance internal controls to ... mitigate risk on an ongoing basis. Identify risk -related issues needing escalation to management. + Promote an... internal control standards, including timely implementation of internal and external audit points together with… more
- TD Bank (New York, NY)
- …Financial Protection Bureau (CFPB), Office of Supervision of Financial Institutions (OSFI) and internal audit to ensure compliance + Aids in development and ... strategy of assigned LOBs + Oversees the development of internal processes to identify and manage compliance risks +...10+ years related experience required + Certified Regulatory Compliance Manager (CRCM), law degree, regulatory, or risk … more