- Citigroup (New York, NY)
- **About the Team:** The Finance Regulatory Engagement & Oversight team works closely with stakeholders to drive and execute end-to-end regulatory engagement and ... defining and implementing best practices. **About the Role:** The Finance Regulatory Engagement Communications and Reporting Director leads the directional strategy… more
- KeyBank (Amherst, NY)
- …collaboration with other members of REA team on projects and testing. The Senior Compliance Manager must have in-depth knowledge of wealth and trust risk ... to testing, monitoring, issues management, and verification activities. The Senior Compliance Manager must exhibit strong leadership, initiative, and agility… more
- SMBC (New York, NY)
- …years in financial services or international law firm, with an emphasis on regulatory compliance . + Experience developing policies and procedures and strong ... Sumitomo Mitsui Banking Corporation (SMBC) is seeking a dynamic Compliance Policy Manager to join our ...with SMEs to draft, refine, and finalize clear, comprehensive compliance policy documents adhering to regulatory expectations… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $140,000 - $180,000 USD TD is committed to providing fair ... more specific details for this role. **Job Description:** The TD Securities US Compliance team is looking for Vice President candidates to join the trade… more
- TD Bank (New York, NY)
- …Manages oversight process, risk-based identification and monitoring of related risks and regulatory compliance across the supported functions, while ensuring key ... Description:** **Why Work with Us?** At TD Bank US Compliance , we're on a mission to build a more...organization, and enterprise as appropriate. The **Employee Experience Senior Manager ** will lead and enhance the employee experience within… more
- Raymond James Financial, Inc. (New York, NY)
- …Planning and scheduling work to meet regulatory , organizational, and regulatory requirements. * Identifying and applying appropriate compliance monitoring ... **Essential Duties and Responsibilities** * Performs RJ Bank fair lending compliance reviews and analyzes the fair lending risk within various business units. *… more
- Capital One (New York, NY)
- …Specialist (CAMS), Certified Internal Auditor (CIA), Certified Public Accountant (CPA), Certified Regulatory Compliance Manager (CRCM), or Certified Fraud ... Senior Audit Manager , Financial Crimes Compliance & AML...is a dedicated group of professionals focused on delivering top- quality assurance services to the organization's Audit Committee. Audit… more
- TD Bank (New York, NY)
- …multiple sources (eg, order management systems, execution platforms, and market data feeds). + Regulatory Compliance & Risk Management: Help to ensure TDS meets ... Securities Compliance team is seeking a Senior Compliance Officer to join the Surveillance Data Quality...guidance and support to business units in adhering to regulatory / compliance requirements and assists in implementing … more
- City of New York (New York, NY)
- …Housing - Compliance and Enforcement Your Impact: As an Assistant Project Manager for Housing Incentives' Compliance and Enforcement (C&E) division, you will ... with C&E's internal and external partners. You will contribute to investigations of non- compliance with the tax programs and regulatory agreements that are… more
- Amazon (New York, NY)
- Description Amazon is looking for a Senior Trade Compliance Program Manager (PM) to build import and export risk management solutions for growing international ... directly with internal teams from legal, logistics, supply chain, quality , engineering, as well as Amazon's global network of...the team This position reports to the Americas Trade Compliance Operations Sr Manager in the Global… more