- Citigroup (New York, NY)
- Serves as a function/business/product compliance risk officer as a ** Senior Vice President for Equities Independent Compliance Risk Management ... consistent with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors, providing day-to-day Compliance advice… more
- TD Bank (New York, NY)
- …notes, and other required documentation to effectively report on the status of Compliance regulatory initiatives to senior management, relevant boards and ... will be a key member of the TDS US Compliance Regulatory Initiatives Team and US Wholesale... requirements and assisting business units to manage their regulatory risk . **Depth & Scope:** + Works… more
- TD Bank (New York, NY)
- …Business and assist in implementing compliance initiatives to help manage regulatory risk . **Education & Experience:** + Bachelor's degree or progressive ... to detail and ability to work independently. **General Job Posting:** The Compliance Officer supports consumer regulatory compliance functions for… more
- TD Bank (New York, NY)
- …notes, and other required documentation to effectively report on the status of Compliance regulatory initiatives to senior management, relevant boards and ... US Compliance Initiatives Team and US Wholesale Compliance Group. The Compliance Regulatory ... requirements and assisting business units to manage their regulatory risk . **Depth & Scope** + Accountable… more
- Capital One (New York, NY)
- …Bachelor's Degree or military experience + At least 6 years of experience in regulatory compliance , risk management or anti-money laundering (AML) ... and partner reviews. The Senior Manager AML Compliance Advisor performs a key risk management...networks + Certified Anti-Money Laundering Specialist (CAMS) or Certified Regulatory Compliance Manager (CRCM) certification At this… more
- TD Bank (New York, NY)
- …US Compliance , we're on a mission to build a more resilient and scalable compliance risk management function. As part of our team, you'll play a key role ... compliance that will cascade throughout the organization. The Senior Compliance Business Manager will serve as...areas of expertise + Anticipates emerging business trends and regulatory / risk issues as a basis for recommending… more
- Citigroup (New York, NY)
- Serves as a senior function/business/product compliance risk officer covering North American Cash Equities Sales and Trading businesses. The role is ... of best-in-class Compliance , programs, policies and practices for Independent Compliance Risk Management (ICRM). Translates ICRM strategy and goals across… more
- City National Bank (New York, NY)
- * COMPLIANCE OFFICER SENIOR * WHAT IS THE...and regulations, ensuring controls are in place to mitigate compliance risk . Maintaining regulatory change ... OPPORTUNITY? The Compliance Officer Senior - Mortgage is responsible for managing and maintaining...and other regulatory affairs. * For Banking Compliance related roles, Certified Compliance Risk… more
- Guidehouse (New York, NY)
- **Job Family** **:** Risk & Regulatory Compliance Consulting **Travel Required** **:** Up to 50% **Clearance Required** **:** None **What You Will Do** **:** ... has an aggressive growth strategy for its Financial Crimes, Risk and Compliance (FCRC) practice, and now...this growth strategy. This new hire will be a senior business builder with a high-profile personal network with… more
- KeyBank (Buffalo, NY)
- …Brooklyn, Ohio 44144 **About the Job** As part of Key's second line of defense Compliance Risk Management function, the Risk Evaluation and Assurance Program ... with applicable laws and regulations through the execution of compliance and operational risk monitoring and testing...compliance (eg - Certified Fraud Examiner (CFE), Certified Regulatory Compliance Manager (CRCM)). + Experience with… more