- American Express (New York, NY)
- …our compliance risk assessment governance framework is robust, aligned with regulatory requirements, and effectively manages compliance risks across our firm, ... will ensure the CRA program is robust, risk-based, and responsive to regulatory expectations, while also driving consistent execution by second line compliance… more
- Raymond James Financial, Inc. (New York, NY)
- …objectives and develops processes and procedures to ensure adherence to all regulatory requirements. * Partners with business units to recommend policy and process ... committees and/ or working groups as needed. * Research regulatory updates to identify linkages and trends and apply...linkages and trends and apply findings. * Performs periodic reporting on compliance and operational issues as required. *… more
- WMCHealth (Valhalla, NY)
- …an up-to-date list of eligible providers and ensure accurate reporting for HRSA recertifications and regulatory submissions. Qualifications/Requirements: ... Job Summary: The 340B Program Compliance Analyst is responsible for maintaining regulatory compliance within the 340B Program across all WMCHealth entities. This… more
- TD Bank (New York, NY)
- …of customer behavior and activity of concern, in compliance with KYC policy and regulatory requirements. The team engages with the 1st line of defense on the ... Proactively advises covered TD businesses of new and changed AML/ATF/Sanctions/ABAC regulatory and/or policy requirements and articulates the impact to their… more
- WMCHealth (Valhalla, NY)
- …24-hour a day operation of the assigned laboratory. Oversees the regulatory , personnel, technical, financial and business activities of the laboratory. ... evaluations, annual physicals and other information as required by hospital and regulatory requirements. + Assures that laboratory procedures and policies remain in… more
- MUFG (New York, NY)
- …+ Familiarity with the Sound Practices to Operational Resilience, and ensure all regulatory requirements (eg FFIEC, OCC, FRB) are being adhered to + Propose ... (but is not limited to) a broad range of ongoing activities related to regulatory changes, bank processes, systems issues and enhancements to the program + Lead risk… more
- Amazon (New York, NY)
- …influencing stakeholders across the organization to act without having a direct reporting relationship - Experience engaging with regulatory agencies in permit ... controls, and implement effective risk mitigation strategies to meet regulatory requirements for Amazon's over-the-road operations worldwide. The ideal candidate… more
- SMBC (New York, NY)
- …and support various workstreams which will be responsible for calculating the bank's regulatory capital of trading book portfolios. This role will have a high level ... solid grasp of financial markets as well as US regulatory framework. **Role Objectives** + Lead the development of...+ Develop business requirements for capital calculations, analytics and reporting on behalf of the team. + Work closely… more
- PNC (New York, NY)
- …needed to be successful in this position. **Preferred Skills** Compliance Reporting , Customer Risk, Decision Making, Regulatory Requirements, Risk Assessments, ... governance, policies, and oversight - Experience supporting or responding to regulatory requests, including familiarity with financial prudential agencies (eg, OCC,… more
- TD Bank (New York, NY)
- …providing leadership, direction, and necessary quality assurance checks regarding liquidity reporting and all relevant investor and/or regulatory requests. This ... The Senior Treasury Liquidity Analyst maintains, enhances, and develops reporting processes, control frameworks, and/or systems. Daily activities involve… more