- American Express (New York, NY)
- …2LOD Compliance , the 2LOD Global Financial Crimes team, 2LOD Market Compliance Officers and the General Counsel 's Organization. This role is a highly ... the General Counsel 's Organization, Audit, 2LOD Global Compliance and Ethics, and 2LOD Financial Crimes...2LOD Global Compliance and Ethics, and 2LOD Financial Crimes groups. **Required Qualifications** * Deep regulatory… more
- NYU Rory Meyers College of Nursing (New York, NY)
- …years experience as a statured executive with significant professional experience in financial , legal, compliance , regulatory and/or audit matters ... years experience as a statured executive with significant professional experience in financial , legal, compliance , regulatory and/or audit matters… more
- Heritage Financial Credit Union (Middletown, NY)
- …in a financial institution, auditing firm, or consulting firm with regulatory compliance focus + Bank operations experience in mortgage originations, ... a difference in the lives of our members and our community. POSITION PURPOSE Regulatory Compliance is responsible for developing and maintaining a Compliance … more
- TD Bank (New York, NY)
- …in rendering advice and counsel to business lines or assigned areas, on compliance matters and regulatory risks which may impact performance of the business ... **U.S. Wealth Compliance acts as an independent regulatory compliance and conduct risk management and...TD Wealth Management Services Inc) with independent and complex regulatory regimes. The Financial Advisors, Relationship Managers,… more
- TD Bank (New York, NY)
- …in rendering advice and counsel to business lines or assigned areas, on compliance matters and regulatory risks which may impact performance of the business ... with staff and senior management of the Bank with respect to significant regulatory compliance risk matters. + Empowered to make prudent professional decisions… more
- TD Bank (New York, NY)
- …for the Company and supports the development, implementation, and maintenance of a regulatory compliance program through compliance activities across various ... end, the incumbent will work with Oversight Functions (designated Regulatory Compliance Management accountability for areas of...regulatory research that may involve internal or outside counsel or third party assistance + Stays current on… more
- American Express (New York, NY)
- …Qualifications:** + 5 years in Compliance or related activities within financial services industry, with demonstrated regulatory knowledge of and expertise ... digital and mobile banking products and platforms preferred. + Certified Regulatory Compliance Manager (CRCM) or similar professional certification preferred.… more
- University of Rochester (Rochester, NY)
- …The Compliance Analyst II conducts investigations, risk assessments, and regulatory monitoring to prevent and detect fraud, waste, and abuse, specifically ... accuracy, professional judgment, and accountability, as errors can result in significant regulatory or financial penalties or reputational risk. **There are two… more
- American Express (New York, NY)
- …business specific compliance expertise, particularly in relation to identifying where compliance and regulatory risk is present in BU process and controls. ... related BU issues. + Support the mapping of compliance and regulatory risk to RCSA controls....business partners across the Enterprise such as the General Counsel 's Organization, Audit, and 2LOD Global Compliance … more
- University of Rochester (Rochester, NY)
- …to ensure compliance with federal, state, and institutional guidelines. + ** Regulatory Compliance ** : Ensure strict adherence to the Federal Acquisition ... in compliance with organizational and governmental standards. Maintains compliance with all country-mandated regulatory requirements. Documents legal… more
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