- American Express (New York, NY)
- …as Privacy and Conduct Risk . This position will also support effective compliance risk management oversight to promote safe and scalable marketing and ... innovation by monitoring the overall effectiveness of the business compliance program via Compliance Risk ...other relevant federal, state, and local regulations. + Provide compliance oversight, advisory support and effective challenge… more
- American Express (New York, NY)
- …an impact in this role?** We are seeking an experienced and strategic Director, Compliance to lead compliance risk identification, management, and mitigation ... controls and mitigation strategies + Support the execution of business-level compliance risk assessments and control self-assessments + Support regulatory… more
- Capital One (New York, NY)
- …in regulatory compliance , risk management or anti-money laundering (AML) compliance + At least 2 years of advisory or consulting experience **Preferred ... due diligence and partner reviews. The Senior Manager AML Compliance Advisor performs a key risk management...nor guarantee and is not liable for third-party products, services , educational tools or other information available through this… more
- American Express (New York, NY)
- …management oversight program for the US Consumer deposits business, as well as provide risk management advisory services to promote safe, scalable innovation ... monitoring to implement effective processes. + Support an effective Compliance program including Compliance Risk ...+ Support an effective Compliance program including Compliance Risk Assessment (CRA), Regulatory Change Management… 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, ... training, and advisory matters for mortgage lending compliance . This...exam management and other regulatory affairs. * For Banking Compliance related roles, Certified Compliance Risk… more
- CIBC (New York, NY)
- …with CIBC policies and regulatory requirements. **How You'll Succeed:** + Providing ongoing Compliance advisory services on regulatory matters to personnel ... CIBC.com (https://www.cibc.com/en/about-cibc.html) **What You'll Be Doing:** The Swap Dealer Compliance Officer is responsible for performing important advisory ,… more
- Guardian Life (Albany, NY)
- …Avenue Investment Advisory , you will conduct branch office inspections using risk -based testing methodologies to ensure compliance with FINRA Rule 3110 and, ... in certain circumstances, various state insurance laws. The Lead Compliance Analyst is responsible for developing a risk...initiatives. **You have** + Broad knowledge of the financial services industry and FINRA, SEC and State rules and… more
- Scotiabank (New York, NY)
- …their team by fostering an inclusive work environment. + Work with Swap Dealer Compliance Advisory Team to perform Swap Dealer Compliance Testing in ... Compliance Testing Senior Manager, Swap Dealer and Derivatives...provides a full range of investment banking, credit and risk management products and services relevant to… more
- TD Bank (New York, NY)
- …as the support functions including Technology and Operations * Build relationships with Compliance Advisory team by working closely with them on regulatory ... units in adhering to regulatory/ compliance requirements and assists in implementing compliance initiatives to help manage regulatory risk . **Depth & Scope:**… more
- TD Bank (New York, NY)
- …as the support functions including Technology and Operations + Build relationships with Compliance Advisory team by working closely with them on regulatory ... New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $140,000 - $180,000 USD TD is committed to providing fair… more