- American Express (New York, NY)
- …trends to establish a risk-based Audit Plan with adequate coverage + Support and/or lead regulatory activities and attend regulatory meetings as appropriate ... Practices group responsible for managing audit operations, quality, and standards; regulatory relations; reporting ; training and professional development; and… more
- Coinbase (Albany, NY)
- …Controls (ITACs), ensuring comprehensive coverage and assessment of IT-dependent financial reporting and operational processes. A strong understanding of both ... development and refinement of internal audit methodologies for SOX compliance, SOC reporting , and operational audits, incorporating best practices and industry… more
- TD Bank (New York, NY)
- …business partners and appropriate stakeholders on a range of finance accounting / reporting or operational processes + Apply understanding of respective business ... areas + Researches and investigates a range of financial accounting / audit operational and/or reporting issues + Requires specialized and/or advanced technical… more
- TD Bank (New York, NY)
- …Skill in using advanced analytical software tools, data analysis methods and specialized reporting techniques + Advanced ability to lead , plan, implement, and ... mitigate and manage these risks + Establishes and provides on-going analysis and reporting on operational risk and/or other major risk categories as applicable… more
- TD Bank (New York, NY)
- …risk appetite + Ensures colleagues are knowledgeable; and assumes responsibility to minimize operational and regulatory risk by complying with Bank and industry ... and responsible for partnering on financial planning & forecasting, reporting , and Plan as it relates to Cost (expense)...variances + Function as the cost management expert and lead on Finance change projects to improve systems, processes… more
- JPMorgan Chase (New York, NY)
- …closed-end funds in alternative investment strategies in private market investments. You will lead regulatory and compliance risk oversight for some of the most ... as the Chief Compliance Officer (CCO) where you will lead oversight of regulatory compliance for registered...governance, including preparation of Board materials and annual compliance reporting . + Ability to operate independently and lead… more
- TD Bank (New York, NY)
- …compliance framework, ensuring that it is robust, adaptive, and aligned with global regulatory expectations. Specifically, this role will lead the US Global ... **Job Description:** The Global Compliance Department is responsible for overseeing regulatory compliance across TDBG in accordance with the Global Compliance… more
- MTA (New York, NY)
- …Health oversees all aspects of the safety and health program, ensuring regulatory compliance, operational safety, and risk mitigation across nine inter-borough ... and mitigate risks related to environmental hazards, workplace safety, and operational incidents. Lead the investigation of safety-related incidents, ensuring… more
- TD Bank (New York, NY)
- …findings, coordinates with the field on client response, prepares periodic reporting to multiple stakeholders, and manages ongoing marketing items to ensure ... compliance with firm and regulatory policy. Teammates interact directly and independently with field leadership, advisors, regulatory agencies and provides… more
- TD Bank (New York, NY)
- …**Compliance-wide frameworks, guidelines and standards for testing, monitoring, risk assessment, reporting and other activities** + **Internal Audit, regulatory ... standards. **Department Overview:** **U.S. Wealth Compliance acts as an independent regulatory compliance and conduct risk management and oversight function as… more
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