- Deloitte (New York, NY)
- The team The Quality and Risk Management (QRM) team's mission is to protect the earnings, assets, and reputation of the firm, facilitate consistency of delivery, and ... reduce the cost of quality . The primary responsibility of QRM is to provide...mission by helping identify, mitigate, and manage risk (delivery, regulatory , legal, and reputation) throughout the engagement life cycle.… more
- TD Bank (New York, NY)
- …Communication Surveillance, Financial Crimes & Risk Management (transaction surveillance), Regulatory Compliance Management, and Conduct & Supervision. **Role ... a focus on innovation, operational efficiencies, automation, and data quality . The MD will lead technology initiatives that align...within Compliance in Financial Services. * Deep compliance and regulatory domain expertise * Proven… more
- KeyBank (Amherst, NY)
- …and in collaboration with other members of REA team on projects and testing. The Senior Compliance Manager must have in-depth knowledge of wealth and trust risk ... apply those to testing, monitoring, issues management, and verification activities. The Senior Compliance Manager must exhibit strong leadership, initiative, and… more
- TD Bank (New York, NY)
- …can provide you more specific details for this role. **Job Description:** The Senior Compliance Office provides advice, guidance and support to business units ... in adhering to regulatory / compliance requirements and assists in implementing ...collate document and evidence organization and retention. + Conduct Quality Assurance for monitoring activity against the enterprise standards.… more
- Fujifilm (Albany, NY)
- …vendor agreements, non-disclosure agreements, development, manufacturing and service agreements, quality agreements and clinical trial and research agreements, among ... new business ventures. + Keep abreast of legislative and regulatory changes that may affect HLUS and its subsidiary...Experience in legal matters involving tariffs and other trade compliance issues would be a plus. + Strong contract… more
- JPMorgan Chase (New York, NY)
- …shaping the future of client service and make your mark by delivering high- quality support and innovative financial solutions. As a Client Associate within the ... and financials, and provide investment quotes to clients while complying with regulatory and firm policies and procedures. + Interface directly with clients and… more
- M&T Bank (New York, NY)
- …of appropriate Bank resources, including market leadership, tax liaison team, Legal and Compliance , to ensure timely delivery of quality service and expand ... model for less experienced staff. + Understand and maintain current knowledge of regulatory requirements and Federal and state law concerning trust and estates, as… more
- Guardian Life (New York, NY)
- …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, ... investigative reports, including findings, recommendations, corrective actions and required regulatory filings, including, but not limited to Suspicious Activity… more
- M&T Bank (Buffalo, NY)
- …applicable compliance /operational risk controls in accordance with Company or regulatory standards and policies. + Promote an environment that supports belonging ... **Primary Responsibilities:** + Monitor performance of loan portfolio credit quality ; communicate issues to management; quantify business ramifications, Investigate… more
- Scotiabank (New York, NY)
- …to drive ambition for every future! **Purpose** In this role, you will provide senior compliance support for the Scotiabank US Sales and Trading businesses by ... Compliance . **What You'll Do** + Acting as a senior compliance officer and Compliance ...management and US Compliance personnel on relevant compliance issues, the regulatory environment, and … more