- SMBC (New York, NY)
- …Ltd. **Job Summary** The SMBC Americas Division Human Resources & Legal Control Officer is a change agent and risk management expert within the first line ... of 7-10 years of experience in operational risk management, compliance, audit , or other control -related functions within the financial services industry,… more
- KeyBank (NY)
- …Qualifications** + Education/Background: Bachelor's degree, + Minimum of 3 years of compliance, risk management, and/or audit experience with a strong focus on ... 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 Program")… more
- KeyBank (Buffalo, NY)
- …+ Education/Background: Bachelor's degree + Minimum 3 years of banking operations, risk management (operational and/or compliance), and/or audit experience with ... 44144 **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
- SMBC (New York, NY)
- …Description** The SMBC Capital Markets, Inc. Capital Market Business Control Officer is a business-aligned change agent and risk management individual ... Office functions in Capital Markets. Candidate provides guidance on processes and control design, ensures effective assessment of risk across the transaction… more
- SMBC (New York, NY)
- …strategy and product development (incl. new product development) through identification of risk & control considerations, as well as definition & ... Finance Department interactions with 2nd Line of Defense functions, Internal Audit , and Regulators pertaining to processes and controls. + Coordinates management… more
- Scotiabank (New York, NY)
- …and leads the planning, execution and reporting of Global trade surveillance Compliance Audit by assessing the control effectiveness and Bank's adherence to the ... technical expertise to effectively challenge management to improve the control environment. + Assess the effectiveness of the bank's...and themes or systemic issues that may impact the risk assessment of the audit universe and… more
- Amalgamated Bank (New York, NY)
- …& Artificial Intelligence (AI) Audit Manager supports the Deputy Chief Audit Officer (DCAO) in leading, overseeing, and strategically enhancing the internal ... and explain complex issues simply. + Ability to manage multiple priorities and high- risk audit engagements and supervising audit staff. + Exceptional… more
- Outreach Development Corporation (Richmond Hill, NY)
- …the requirements of auditors (http://www.accountingtools.com/definition-auditor) and government agencies. + Reports risk issues to the audit committee of the ... For more information, please visit www.opiny.org. Position: Chief Financial Officer The Chief Financial Officer (CFO) reports...for both Boards for the purpose of the annual audit . + Develops financial business plans and forecasts. +… more
- KeyBank (NY)
- …of the Financial Crimes Anti-Money Laundering (AML) and Office of Foreign Assets Control (OFAC) Risk Assessments and related processes, procedures, and controls. ... the enterprise AML/OFAC Risk Assessments and the Risk and Control Self-Assessment (RCSA). Work with...regulations, as applicable. + Collaborate with the Chief AML Officer , Financial Crimes Risk Management Directors, and… more
- CIBC (New York, NY)
- …**What You'll Be Doing:** The Swap Dealer Compliance Officer is responsible for performing important advisory, training, surveillance ... to support CIBC's Swap Dealer Compliance program. The Swap Dealer Compliance Officer is primarily responsible for 1) advising CIBC's global Swaps OTC Derivatives… more