- Capital One (New York, NY)
- …+ Certified Internal Auditor (CIA), Certified Public Accountant (CPA), Certified Regulatory Compliance Manager (CRCM), or Certified Anti-Money Laundering ... Principal Auditor (Experienced Senior Auditor), Corporate Compliance & Securities...+ At least 4 years of experience in auditing, compliance , risk management, accounting, or a combination.… more
- Citigroup (New York, NY)
- …to help facilitate development of materials and prepare for discussions/responses to regulatory agencies. . Works with senior stakeholders across Finance and ... **About the Team:** The Finance Regulatory Engagement & Oversight team works closely with...remediation progress reports to regulators and internal reporting to senior management. As a strong project manager adept at… more
- JPMorgan Chase (New York, NY)
- …will also anticipate and mitigate emerging risks in the climate, nature, and social risk regulatory space. Leading a team, fostering a culture of innovation, and ... execution and strategic direction of work addressing business and regulatory requirements across Lines of Business and Risk... risk topics. **Job Description** As part of Risk Management and Compliance , you are at… more
- Bloomberg (New York, NY)
- AI Governance & Risk Strategy Lead Location New York Business Area Legal, Compliance , and Risk Ref # 10044831 **Description & Requirements** The energy of a ... play a critical role in maturing our frameworks for responsible AI-partnering with senior stakeholders across Technology, Legal, Compliance , Data, and Product to… more
- KeyBank (NY)
- …industry peers and regulatory bodies. - Escalates promptly to appropriate senior management or appropriate risk committee any material breaches of applicable ... that may expose KeyCorp and its affiliates to losses, regulatory or reputation risks, or to risk ...positive working relationships with internal clients, staff, peers, other risk partners, and LOB senior management. -… more
- Coinbase (Albany, NY)
- …connection, and alignment. Attendance is expected and fully supported. As the Senior Manager, Compliance EDD Operations at Coinbase, you'll lead the ... work to the highest quality standards and in full compliance with our regulatory obligations. In this...3 years experience working with global outsourcing providers and senior leadership. * Working knowledge of laws, regulations, and… more
- Wells Fargo (New York, NY)
- …(RCSA)and Shared Risk Platform (SHRP) + Knowledge and understanding of Regulatory Risk and Compliance policies and programs **Job Expectations:** ... all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively following and adhering to… more
- M&T Bank (Buffalo, NY)
- …and experience. Other Responsibilities + Adhere to applicable compliance /operational risk controls in accordance with Company or regulatory standards and ... + This role provides senior level expertise in audit engagements in the Risk Management domain, including aspects of enterprise risk , operational risk ,… more
- TD Bank (New York, NY)
- …is effective. This position also works with management / control function partners (eg Risk , Legal, Compliance , AML and Audit) to assess risks, develop and ... automated (Algo) trading and sales activities in coordination with Compliance or relevant Risk and Control teams....manner. + Vet and coordinate First Line responses to regulatory inquiries in coordination with Compliance , Front… more
- BMO Financial Group (New York, NY)
- …stakeholders. + Ensures alignment between stakeholders. + Represents the risk program / governance structure during internal/external regulatory ... + Develops and maintains in-depth knowledge of business and related risk management requirements and legislative/ regulatory directives and guidance.… more