- Bloomberg (New York, NY)
- …requirements as well as IOSCO principles; and be able to implement regulatory compliance policies, governance and controls. Strong communication and ... on the product and business + Draft, update and review compliance policies in line with regulatory requirements + Prepare reports for regulatory bodies and… more
- TD Bank (New York, NY)
- …Description:** The Global Compliance Surveillance Department is responsible for overseeing regulatory compliance across TDS in accordance with the Global ... Compliance Operating Framework. The team is accountable for promoting regulatory compliance by developing and maintaining a comprehensive communications… more
- TD Bank (New York, NY)
- …professional certification (eg, CRCM, CAMS, PMP) preferred.** + **Familiarity with regulatory expectations tied to enterprise compliance programs, governance, ... to develop proactive strategies, tactics, policies and programs to effectively manage regulatory / compliance issues + Meets with business ( Compliance )… more
- TD Bank (New York, NY)
- …drafting, updating, and implement relevant policies and procedures. + Provide regulatory / compliance training. + Participate in internal investigations, respond ... and market structure preferred + Significant experience in providing legal, regulatory or compliance advice to Equity Sales & Trading Businesses + Strong… more
- Heritage Financial Credit Union (Middletown, NY)
- …a difference in the lives of our members and our community. POSITION PURPOSE Regulatory Compliance is responsible for developing and maintaining a Compliance ... experience in a financial institution, auditing firm, or consulting firm with regulatory compliance focus + Bank operations experience in mortgage originations,… more
- American Express (New York, NY)
- …conflicting priorities under tight timeframes. **Preferred Qualifications:** + Certified Regulatory Compliance Manager (CRCM) Certification + Advance degree ... practices as appropriate. + Oversee the development and review of Bank compliance -related policies and procedures, ensuring they meet regulatory expectations and… more
- TD Bank (New York, NY)
- …We are seeking a strategic and analytical Manager to join our Enterprise Regulatory Compliance Management (RCM) Risk Assessment team. This role is ideal ... efforts, and alignment with regulatory expectations.** + **Participate in regulatory reviews, internal audits, and compliance testing as needed.** The… more
- TD Bank (New York, NY)
- …professional certification (eg, CRCM, CAMS, PMP) preferred.** + **Familiarity with regulatory expectations tied to enterprise compliance programs, governance, ... to develop proactive strategies, tactics, policies and programs to effectively manage regulatory / compliance issues + Meets with business ( Compliance )… more
- KeyBank (NY)
- …and monitoring processes (including analytics), and applicable techniques for implementation of regulatory compliance requirements and compliance processes + ... training or continuing education opportunities to further develop overall knowledge of regulatory compliance , banking products and services, industry trends, and… more
- TD Bank (New York, NY)
- …provides advice, guidance and support to business units in adhering to regulatory / compliance requirements and assists in implementing compliance initiatives ... to help manage regulatory risk. Ideal candidate would have previous compliance experience, preferably in an advisory capacity. The Senior Manager will provide… more