- TD Bank (New York, NY)
- …+ Serve as the lead liaison with first-line business risk owners and compliance oversight functions + Support the assessment of first-line risk owners' ... & Operations Manager leads the development and implementation (or lead support ) of enterprise Compliance programs, including frameworks, policies, standards… more
- TD Bank (New York, NY)
- …and control design effectiveness assessment also desired. **Key Responsibilities** **:** + Support the global Compliance Program in defining and achieving ... & Operations Manager leads the development and implementation (or lead support ) of enterprise Compliance programs, including frameworks, policies, standards… more
- TD Bank (New York, NY)
- …**Customer Accountabilities:** + Proactively advises the business of new and changed Compliance regulatory and/or policy changes + Formulates relevant and ... and independent challenge on business activities and initiatives with regulatory impact. + Serve as a compliance ...testing to ensure gaps are addressed and aligned with regulatory expectations. + Support control mapping to… more
- City National Bank (New York, NY)
- …applicable laws and regulations, ensuring controls are in place to mitigate compliance risk. Maintaining regulatory change management, policies and procedures, ... approach. WHAT WILL YOU DO? * Serve as a compliance subject matter expert for assigned areas....as mortgage, in addition to other business areas or support functions * Monitor legislative/ regulatory /enforcement activity and… more
- City National Bank (New York, NY)
- …acceptable level. WHAT WILL YOU DO? * Serve as compliance subject matter expert for assigned areas. * Manage regulatory changes that impact business areas or ... advisory role supporting consumer banking on matters of regulatory compliance for Credit Cards. The role... support functions. * Monitor legislative/ regulatory /enforcement activity and trends for impacts to business line… more
- TD Bank (New York, NY)
- …Description:** The Global Compliance Surveillance Department is responsible for overseeing regulatory compliance across TDS in accordance with the Global ... Operating Framework. The team is accountable for promoting regulatory compliance by developing and maintaining a...Shared Accountabilities:** + Set "tone at the top" in support of a strong risk & compliance … more
- TD Bank (New York, NY)
- …skills. + Ability to make, support and defend difficult and complex regulatory / compliance decisions in a fast-paced and high pressured environment. + Ability ... implementation. + Develop and deliver proactive strategies and tactics that support compliance /business objectives **Position Requirements** + 7+ years of… more
- Raymond James Financial, Inc. (New York, NY)
- …best practices. + Strategically recruit and develop compliance professionals to support business growth and adapt to changing regulatory landscapes. + Foster ... efficiency while maintaining regulatory integrity. + Act as a subject matter expert on Capital Markets compliance , keeping abreast of regulatory updates… more
- Marex (New York, NY)
- …+ Ability to make, support and defend difficult and complex regulatory / compliance decisions in a fast-paced and high-pressured environment. + Ability to ... municipal bonds, and US Treasuries as well as providing compliance advisory services regarding various other regulatory ...monitor business activities. + Serve as a subject matter expert on products, regulatory reporting, and broker-dealer… 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) compliance ... or payment networks + Certified Anti-Money Laundering Specialist (CAMS) or Certified Regulatory Compliance Manager (CRCM) certification At this time, Capital One… more