- TD Bank (New York, NY)
- …findings, coordinates with the field on client response, prepares periodic reporting to multiple stakeholders, and manages ongoing marketing items to ensure ... compliance with firm and regulatory policy. Teammates interact directly and independently with field leadership, advisors, regulatory agencies and provides… more
- TD Bank (New York, NY)
- …a team(s) of specialists/professionals providing advice, guidance and expertise on regulatory requirements and assisting business units to manage their regulatory ... Responsibilities:** + Assist in drafting and maintaining comprehensive suite of regulatory Compliance policies and procedures + Coordinate with stakeholders and… more
- American Express (New York, NY)
- …and enhancing the organization's model risk governance framework, ensuring compliance with regulatory requirements (eg, SR 11-7), and effectively managing the ... SR 11-7 and other applicable guidelines. + Manage regulatory and audit responses related to model risk management....risk exposures and trends. + Ensure timely and accurate reporting of model risk issues to senior … more
- TD Bank (NY)
- …for this role. **Line of Business:** Risk Management **Job Description:** The Senior Group Risk Specialist within Operational Risk Management ("ORM") provides a ... and the Businesses in both the US and Canada. Reporting to the Segment Risk Lead for US Wealth,...Epoch and Insured Deposit Account, the focus of the Senior Group Risk Specialist will include but not limited… more
- TD Bank (New York, NY)
- …**Compliance-wide frameworks, guidelines and standards for testing, monitoring, risk assessment, reporting and other activities** + **Internal Audit, regulatory ... standards. **Department Overview:** **U.S. Wealth Compliance acts as an independent regulatory compliance and conduct risk management and oversight function as… more
- Northwell Health (Lake Success, NY)
- …of the core laboratory. Responsible for clinical, technical, administrative, regulatory , and financial management and improvement of core laboratory operations ... for goals in alignment with the health system. * Develops and manages reporting departments' operating and capital budgets and allocation of funds based upon reviews… more
- Centene Corporation (Queens, NY)
- …performance and relationship model and team engagement of provider performance reporting . + Responsible for understanding the differences between Risk and ... and outcomes. + Ensures adherence to contractual obligations and to regulatory requirements. + Identifies areas of opportunity to improve Provider Satisfaction… more
- City of New York (New York, NY)
- …from conception, through design development to construction completion and close-out. Reporting to the Program Executive, other key responsibilities include but are ... and construction; and liaise between design-builders, the PMC, Sponsor Agencies, regulatory entities, and DDC staff. Other duties include maintaining comprehensive… more
- City National Bank (New York, NY)
- …* Assist with regulatory filings such as Form ADV and CFTC reporting . * Provide guidance and coaching to colleagues on interpretation and application of ... *COMPLIANCE OFFICER SENIOR -REGISTERED INVESTMENT ADVISOR* *WHAT IS THE OPPORTUNITY?* The...and be accustomed to working with deadlines. * Certified Regulatory Compliance Manager (CRCM), Certified Internal Auditor… more
- TD Bank (New York, NY)
- …issues and help implement controls to prevent recurrence, and enhance reporting mechanisms for senior management. + Stakeholder Engagement: Collaborate ... Technology on surveillance data quality issues. Support the Data Quality Director in reporting on data quality issues. The Senior Compliance Office provides… more