- 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 ... The Lead Compliance Analyst is responsible for developing a risk -based plan for the branch office inspection, executing the...judgment to assess the adequacy and effectiveness of the control environment in the branch office. + Timely communicate… more
- Trellix (Albany, NY)
- …all organizational levels. **AI Cyber Defense Consultant** **Key Responsibilities** **AI Risk Management & Mitigation** + Conduct comprehensive risk assessments ... relates to AI data use cases and tools **Strategic Advisory & Collaboration** + Serve as a subject matter...guidance to clients on on AI-driven cyber defense strategies, risk assessments, and compliance with healthcare regulations (eg, HIPAA,… more
- VISTRADA (New York, NY)
- …design and implement initiatives supporting Cybersecurity, Business Transformation, Integrated Risk Management, and Managed Services . Vistrada provides seasoned ... rapport with clients and team members. + Provide expert security advisory , compliance and security program oversight, oversee security/compliance assessments, and… more
- TD Bank (New York, NY)
- …professionals capable of executing with excellence and in providing top tier advisory services **Education & Experience:** + Undergraduate degree; graduate ... and assesses potential impacts + Maintains a culture of risk based management and control , supported by...experience or are just starting your career in financial services , we can help you realize your potential. Through… more
- Capco, a Wipro Company (New York, NY)
- …and implementing risk -aware solutions for top-tier organizations in the Financial Services sector. We tailor enterprise risk management strategies to address ... on key cybersecurity priorities, leveraging expertise in financial processes, strategic advisory , cyber programs, and security operations. **About the Job:** As a… more
- TD Bank (New York, NY)
- …and complies with Bank and Industry Codes of Conduct + Maintains a culture of risk management and control , supported by effective processes in alignment with ... Product Manager oversees the end to end management of assigned products, services and programs including features, benefits and characteristics that meet customer… more
- Raymond James Financial, Inc. (New York, NY)
- …knowledge of Sanctions regulatory requirements. + Financial markets, products, financial advisory function and investment process. + Sanctions-related controls + ... liaison to RJF business executives on enterprise client investigations and higher- risk corporate securities reviews matters. + Demonstrate an understanding of the… more
- M&T Bank (Hauppauge, NY)
- …client goals and objectives are achieved. + Adhere to applicable compliance/operational risk controls in accordance with Company or regulatory standards and ... base .Promote and sell the full array of financial services distributed by the Company to current and new...reflects the M&T Bank brand. + Maintain M&T internal control standards, including timely implementation of internal and external… more
- American Express (New York, NY)
- …reporting as needed. **Minimum Qualifications:** * 5 years of experience in risk management within the financial services industry, specific expertise compliance ... play a pivotal role in developing and executing the firm's compliance risk governance initiatives. This team is responsible for designing and implementing… more
- TD Bank (New York, NY)
- …evolving regulatory requirements and assess potential impacts * Maintain a culture of risk management and control , supported by effective processes in alignment ... of the organization - identify and manage risks, and escalate non-standard, high- risk activities as necessary * Conduct reporting and / or meaningful analysis… more