- City National Bank (New York, NY)
- …area compliance with applicable laws, rules, and regulations, and ensuring effective controls are in place to mitigate compliance risk . Maintaining regulatory ... The Senior Compliance Officer will act in a compliance oversight and advisory role supporting assigned business units including two registered investment managers.… more
- TD Bank (New York, NY)
- …are looking for a Vice President, Compliance - US Corporate Investment Banking Compliance Advisory to join our team in NYC. The ideal candidate must have compliance ... experience in the investment banking space, preferably in an advisory capacity. The Vice President will assist in the...strategic advice and guidance to front office and relevant control functions regarding (i) public and private offerings of… more
- TD Bank (New York, NY)
- …of compliance with firm policies for covered business areas + Conduct compliance risk assessments to ensure effective business control framework + Analyze new ... **Preferred Qualifications:** We are looking for a Vice President, US Markets Compliance Advisory to join our team in NYC. The ideal candidate must have compliance… more
- TD Bank (New York, NY)
- …on regulatory requirements and assisting business units to manage their regulatory risk . The successful candidate should have compliance advisory experience in ... to resolving issues with consideration to regulatory requirements, regulatory and firm risk and industry best practice. **Key Responsibilities** + Provide day to day… more
- Ankura (New York, NY)
- …not receive a response. Ankura Consulting Group, LLC is an independent global expert services and advisory firm that delivers services and end-to-end ... Effectiveness and Efficiency: Optimize Finance and Accounting processes, operations and service delivery model while driving EBITDA improvements and managing overall… more
- Huron Consulting Group (New York, NY)
- …the Financial Services industry + Broad abilities in process and controls , risk assessment + Extensive experience in developing and implementing internal ... candidates with experience in Internal Audit, GRC and SOX 404 within the financial services industry to join our Financial Institutions Advisory team. In this… more
- American Express (New York, NY)
- …discipline. + 3 years of experience in compliance, risk management, or control -related roles in financial services . + Working knowledge of key US banking ... risk certification (eg, CRCM, CAMS, CCEP). + Familiarity with issue management, risk assessments, and control testing processes. + Experience working in a… more
- BMO Financial Group (New York, NY)
- …+ Anticipate/ identify and analyze risk and consequences of unaddressed risk factors/ compliance gaps, and recommends appropriate controls . + Operate ... must first have a valid, written and fully executed agency agreement contract for service to submit resumes. **Please note that this is a hybrid work arrangement -… more
- Eliassen Group (Albany, NY)
- …of companies reach further and achieve more with their technology solutions, financial, risk & compliance, and advisory solutions, and clinical solutions. With ... + Maintain and optimize SIEM tools and other logging infrastructure. + **Governance, Risk & Compliance** + Respond to internal and external audit requests, ensuring… more
- Guidehouse (New York, NY)
- …Required** **:** None Job Posting **What You Will Do** **:** The Patient Services team provides program design, implementation, and monitoring services to ... work you will also identify and evaluate issues of risk for both Guidehouse and for Guidehouse's relationships with...of all varying sizes and durations to ensure quality control and key client's perceived value while supervising, mentoring… more
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