- TD Bank (Brooklyn, NY)
- …state, SRO regulations and Firm policies related to all business activities (eg OCC , SEC, State Insurance Commissioners, NY Department of Financial Services, etc.) + ... Ensures all Continuing Education requirements are attained + Responsible for understanding and adhering to TD Bank & TD Wealth Policies and Procedures + Responsible for implementing TD's Customer Identification Program (CIP) by collecting and verifying… more
- City National Bank (New York, NY)
- …/ third party risk management related regulatory requirements, guidance and oversight ( OCC 2013-29, Fed SR 13-19 or other relevant third party risk management ... / vendor management regulation applicable to the financial services industry) * Currently hold or quickly obtain industry recognized third party risk management or vendor management certification * Excellent oral and written communication skills; experience… more
- TD Bank (New York, NY)
- …Qualifications:** + Consumer compliance experience, regulatory knowledge, audit experience + OCC /FINRA/SEC/CFPB/ FED/ FDIC examiners welcome + CRCM or CIA certified ... preferred **Customer Accountabilities:** + Develops, communicates and implements a holistic strategy for audit area of expertise in support of and integrated with the overall audit strategy + Oversees/leads/manages and plans audit engagement work activities to… more
- University of Rochester (Rochester, NY)
- …Must be Basic Life Support (BLS) certified. Schedule: 3 PM - 11 PM; OCC WKNDS The University of Rochester is committed to fostering, cultivating, and preserving an ... inclusive and welcoming culture to advance the University's Mission to Learn, Discover, Heal, Create - and Make the World Ever Better. In support of our values and those of our society, the University is committed to not discriminating on the basis of age,… more
- TD Bank (New York, NY)
- …related Audit experience required **Preferred Qualifications:** + Experience as a former OCC , CFPB, FDIC, FRB, or NCUA compliance examiner + Banking industry audit ... experience with focus on Governance, Risk & Oversight of US Consumer Compliance Function preferred + Relevant professional certifications, accounting designations preferred (eg, CIA, CRCM) + Strong communication (written and verbal) skills to interact clearly… more
- JPMorgan Chase (New York, NY)
- …engagements. You will interface with banking and securities regulators, including the OCC , FRB, FDIC, SEC, FINRA, CME, NFA, and State regulators. Your daily ... routine includes interaction with various executive level internal colleagues in Global Technology and across the Lines of Business and Corporate Functions. You will interact with examiners at the regulatory agencies to schedule meetings with the firm. You… more
- Bank of America (New York, NY)
- …+ Understanding of risk management and model governance frameworks (eg, SR 11-7, OCC 2011-12). + Project management and strategic planning skills, with the ability ... to translate business goals into technical deliverables. + Exceptional communication and documentation skills, capable of bridging technical and non-technical audiences. **Skills:** + Critical Thinking + Monitoring, Surveillance, and Testing + Regulatory… more
- TD Bank (New York, NY)
- …Credit reviews mortgage loans for underwriting quality to assess risk as required by OCC and other regulators. **Depth & Scope** + Generally leads a team focused on ... credit risks on assigned reviews and generally assumes the lead position on the review, providing supervision and assignments to team members as Auditor In Charge as well as reviewing work papers completed by staff and drafting report + Completes loan reviews… more
- KeyBank (Amherst, NY)
- …the related rules and regulations of the financial services industry to include: OCC , FRB, State Law, and other pertinent regulations. + Demonstrated skill in ... effectively communicating (verbal and written) results to a diverse audience; ability to work with all levels of management with a focus on collaboration and relationship management. + Experience with data analysis tools and techniques including advanced… more
- Mizuho Corporate Bank (New York, NY)
- …Banking Supervision (BCBS) Principles for Operational Resilience + US Federal Reserve, OCC , and FDIC guidance + UK Prudential Regulation Authority (PRA) and ... Financial Conduct Authority (FCA) requirements The expected base salary ranges from $180,000.00 - $200,000.00. Salary offers are based on a wide range of factors including relevant skills, training, experience, education, and, where applicable, certifications… more