- US Bank (New York, NY)
- …requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act , the SAFE Act , and/or federal guidelines applicable ... regulations applicable to the bank 's products and services. The Corporate Audit Services Senior Audit Project Manager is primarily responsible for… more
- US Bank (New York, NY)
- …requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act , the SAFE Act , and/or federal guidelines applicable ... At US Bank , we're on a journey to do our...excel at-all from Day One. **Job Description** The Quantitative Senior Audit Project Manager (QSAPM)… more
- US Bank (New York, NY)
- …requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act , the SAFE Act , and/or federal guidelines applicable ... At US Bank , we're on a journey to do our...Guidelines. + Drafting issues under the supervision of the Senior Auditor, Audit Project Manager .… more
- American Express (New York, NY)
- …is seeking a detail oriented and proactive First Line of Defense (1LOD) Compliance Senior Manager to support the business in managing compliance risk across ... ability to translate risk concepts into practical actions. **Key Responsibilities:** + Act as a compliance risk advisor to front-line business teams, helping them… more
- Capital One (New York, NY)
- …Auditor (Experienced Senior Auditor), Financial Crimes Compliance Capital One's Audit function is a dedicated group of professionals focused on delivering ... Crimes Compliance Audit team, you will focus on engagements involving BSA /AML, Sanctions, and Fraud Compliance related audit projects that provide input… more
- City National Bank (New York, NY)
- … Bank Compliance policies and procedures as well as all regulatory requirements (eg Bank Secrecy Act , Community Reinvestment Act , Fair Lending ... YOU DO? * Reviews/challenges compliance risk assessments, analyzing the Bank 's compliance risk; determine if current processes control risk....* Works with Senior Compliance Officer, Compliance Manager to maintain audit tracking logs and… more
- TD Bank (New York, NY)
- …you more specific details for this role. **Job Description:** **Position:** Senior FCRM Compliance Officer **Reports to:** Director, Financial Crime Risk Oversight, ... Assess and opine on financial crime risks of new products and mandates. The Senior FCRM Compliance Officer is responsible for supporting the firm's FCRM program and… more
- TD Bank (New York, NY)
- …filing of a SAR. + Participate in the annual enterprise-wide AML/ BSA /Sanctions/ABAC risk assessment process. + Conduct targeted AML/OFAC training, as appropriate. ... initiatives including global policies and governance. + Assist with regulatory and audit requests. + Provide backup to general AML compliance functions such as… more