- KeyBank (Amherst, NY)
- … management and/or compliance (eg - CFIRS (Certified Fiduciary & Investment Risk Specialist), CTFA (Certified Trust and Fiduciary Advisor ), or similar). + ... Road, Brooklyn Ohio **About the Job** As part of Key's second-line-of-defense Compliance Risk Management function, the Risk Evaluation and Assurance Program… more
- KeyBank (Amherst, NY)
- … management and/or compliance (eg - CFIRS (Certified Fiduciary & Investment Risk Specialist), CTFA (Certified Trust and Fiduciary Advisor ), or similar). + ... Ohio **About the Job** As part of Key's second line of defense Compliance Risk Management function, the Risk Evaluation and Assurance Program (the "REA… more
- Guardian Life (Albany, NY)
- …of NAIC). + 3-5 years of broker-dealer and registered investment advisor compliance experience, with experience at an insurance-affiliated broker/dealer ... and Park Avenue Investment Advisory, you will conduct branch office inspections using risk -based testing methodologies to ensure compliance with FINRA Rule 3110… more
- American Express (New York, NY)
- …appropriately addressed + Monitor and report compliance performance metrics and emerging risk trends + Act as a trusted advisor to senior leaders, supporting ... this role?** We are seeking an experienced and strategic Director, Compliance to lead compliance risk identification, management, and mitigation across US… more
- American Express (New York, NY)
- …+ Assist with control design activities led by Control Management, advising on compliance risk mitigation elements + Coordinate with compliance , legal, ... Finance organizations. **Key Responsibilities:** + Serve as the primary compliance partner and advisor on regulatory change... and accountability. **Qualifications:** Required: + 7 years of compliance , legal, or risk experience within a… more
- Deloitte (Williamsville, NY)
- …responsibility for multi-year and multi-faceted projects including resources, schedule, risk mitigation, contingency planning, compliance with regulations and ... system design, applications, and functional operations. Strong understanding of governance, risk , and compliance related to information, records, and contracts… more
- MTA (Jamaica, NY)
- …with planning, directing, and administering the operations of the MTA Ethics, Risk , and Compliance Program. Identify and assess departmental compliance ... Director, Corporate Compliance Suburban Operations Job ID: 12715 Business Unit:...and in accordance with the COSO framework relative to risk assessment, internal controls and fraud prevention as well… more
- Guardian Life (New York, NY)
- …(inclusive of NAIC). + 3-5 years of broker-dealer and registered investment advisor compliance experience, experience at an insurance-affiliated broker/dealer is ... best-in-class Law Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we deliver (ie,… more
- CH Robinson (New York, NY)
- …policies and procedures to maintain compliance . + Serve as a strategic advisor on sanctions risk , transaction-level red flags, and compliance issues ... role, you will lead, coordinate, and enhance our global compliance programs, with a specific focus on adhering to...alignment with corporate policies and legal requirements + Conduct risk assessments related to OFAC, sanctions, and US export… more
- Guardian Life (New York, NY)
- …+ Collaborate with business partners to support business strategies, resolve compliance inquiries or investigations, and implement risk mitigation strategies. ... best-in-class Law Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we deliver (ie,… more