- Mizuho Corporate Bank (New York, NY)
- The Americas Compliance Department (ACD) manages compliance risk in the United States for Mizuho Bank Ltd. and its US subsidiary bank, Mizuho Bank (USA) and ... Mizuho Financial Group. Summary The successful candidate will join the centralized Financial Crime Compliance Quality Assurance (FCC QA) team within the … more
- Guardian Life (Albany, NY)
- …and Park Avenue Investment Advisory, you will conduct branch office inspections using risk -based testing methodologies to ensure compliance with FINRA Rule 3110 ... in certain circumstances, various state insurance laws. The Lead Compliance Analyst is responsible for developing a risk...and initiatives. **You have** + Broad knowledge of the financial services industry and FINRA, SEC and State rules… more
- Mizuho Corporate Bank (New York, NY)
- The Americas Compliance Department (ACD) manages compliance risk in the United States for Mizuho Bank Ltd. and its US subsidiary bank, Mizuho Bank (USA) and ... Mizuho Financial Group. Summary The successful candidate will join the centralized Financial Crime Compliance Quality Assurance (FCC QA) team within the … more
- TD Bank (New York, NY)
- …the develop and own the methodology for monitoring and testing by 2nd line including compliance risk and controls + Works with other second and third line ... provide you more specific details for this role. **Line of Business:** Compliance **Job Description:** The Compliance Director, Commercial, Operations and… more
- Bloomberg (New York, NY)
- …- Data Privacy - Legal & Compliance Location New York Business Area Legal, Compliance , and Risk Ref # 10043072 **Description & Requirements** The energy of a ... complex issues that come with being the world's leading financial news and information company. Our team is made...privacy laws as well as expertise in managing privacy risk and compliance ; * Ability to work… more
- American Express (New York, NY)
- …leader of this Compliance verticals, the successful candidate will lead Compliance Risk Management oversight for all sub-units and portfolios within Tech, ... processes and controls are put in place to mitigate compliance risk . + Represent Compliance ...means caring for you and your loved ones' physical, financial , and mental health, as well as providing the… more
- SMBC (New York, NY)
- …to the President and is responsible for overseeing the management of the broker dealer's compliance risk and is represented by the Chief Compliance Officer ... SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a...of various committees such as the New Product, Underwriting, Risk Management, Compliance , IT Risk … more
- Mizuho Corporate Bank (New York, NY)
- … AI Initiatives, you will play a pivotal role in shaping the future of AI risk management and compliance within our Compliance Department. You will oversee ... various Line of Business, Corporate Function, and Regionally aligned Compliance Conduct and Operational Risk (CCOR) groups...+ Prior experience in AI/ML and GenAI delivery in financial services industry. + Prior experience in compliance… more
- JPMorgan Chase (New York, NY)
- Bring your expertise to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan Chase strong and resilient. You help ... impact our company, customers and communities. Our culture in Risk Management and Compliance is all about...C/C#/C++ or others is a plus + Experience in financial services industry especially in Operational Risk … more
- Navient (Albany, NY)
- …procedures, and training materials aligned with regulatory best practices. + Lead risk assessments and compliance initiatives to identify issues, mitigate ... **About You:** + 3-4+ years of experience in regulatory compliance , audit, or operational risk & controls...is a plus. + 1-2 years of experience conducting compliance testing routines & supporting consumer financial … more