- TD Bank (New York, NY)
- …a tangible impact - both in day-to-day operations and in the design of a future-focused compliance program . This not just about implementing a new program - ... **Customer Accountabilities:** + Proactively advises the business of new and changed Compliance regulatory and/or policy changes + Formulates relevant and… more
- GE Vernova (New York, NY)
- …GE Vernova's Ethics & Compliance Team is seeking an experienced regulatory compliance professional that will partner with GE Vernova's Financial Services ... ("FS") business to manage FS' compliance program . The Deputy Compliance ...of the UK Financial Conduct Authority (FCA) Handbook, underlying compliance principles, regulator expectations and regulatory frameworks.… more
- TD Bank (New York, NY)
- …drafting, updating, and implement relevant policies and procedures. + Provide regulatory / compliance training. + Participate in internal investigations, respond ... trading systems and market structure preferred + Significant experience in providing legal, regulatory or compliance advice to Equity Sales & Trading Businesses… more
- RGP (New York, NY)
- …affiliate of RGP, is actively recruiting a Senior Manager within our Risk & Regulatory Compliance practice. Our Senior Managers lead teams of industry experts ... As a Senior Manager in Reference Point's Risk & Regulatory Compliance practice, you will lead strategic...401(k) savings plan, Employee Stock Purchase plan, Professional development program , __ days of Paid Time Off per year,… more
- American Express (New York, NY)
- …& Ethics (GC&E) organization establishes the framework for American Express' global compliance risk management program commensurate with the size, complexity and ... risk management function, GC&E is responsible for overseeing the organization's compliance with regulatory expectations through a combination of monitoring… more
- American Express (New York, NY)
- … requirements and internal policies, working closely with both business and compliance partners. The ideal candidate has strong regulatory knowledge, a ... to front-line business teams, helping them understand and comply with applicable regulatory obligations. + Support the execution of compliance risk assessments… more
- American Express (New York, NY)
- …Compliance and 1LOD Financial Crimes CoE to implement initiatives to address evolving regulatory compliance and financial crime risks in BU, as well as ... MBA, MSc) or certifications are advantageous + Experience in regulatory compliance and financial crimes at the...Free and confidential counseling support through our Healthy Minds program + Career development and training opportunities For a… more
- TD Bank (New York, NY)
- …**Department Overview:** The Global Compliance Department is responsible for overseeing regulatory compliance across TDBG in accordance with the Global ... Operating Framework. The team is accountable for promoting regulatory compliance by developing and maintaining ...application process, please email TD Bank US Workplace Accommodations Program at ###@td.com . Include your full name, best… more
- University of Rochester (Rochester, NY)
- …team, responsible for overseeing and leading all aspects of the University's compliance program for academic and central administrative functions. The CCE ... and senior leadership across various university departments. **Essential Functions:** Compliance Program Leadership: + Oversee the development, implementation,… more
- UMB Bank (Albany, NY)
- …corporations. This team provides timely, accurate, and seasoned judgment related to regulatory compliance risk, suggests strategies for mitigating risk, promotes ... position will conduct transaction and control testing to validate regulatory compliance with policies, regulations and laws...line and 3rd line stakeholders, to maintain a strong Compliance Management Program + Maintain a strong… more
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