- Neuberger Berman (New York, NY)
- …and manage business-wide governance routines, ensuring ongoing oversight and escalation of control matters + Partner with Compliance, Risk , Legal, Operations, ... control enhancements + Prepare and deliver reports and presentations to senior management, regulators, and relevant committees on control effectiveness, open… more
- American Express (New York, NY)
- …Enablement, and various 2 nd line functions. This role will report to the Senior Manager , Expense Management Go-to-Market Enablement. **How will you make an ... with Control and Product teams to ensure strong governance, risk management and effective cross-functional coordination. + Identify process improvements that can… more
- Citigroup (Getzville, NY)
- …Engagement; manage team's business continuity plan, record retention strategy and related risk and controls activities. + Support Regulatory Exam Management and ... best practices. **About the role** The Internal Reporting and Communications Senior Vice President for Finance Regulatory Engagement is a strategic professional… more
- TD Bank (New York, NY)
- …scaling compliance programs. This critical role reports to the lead Governance Program Management Senior Manager and will lead the design and development of the ... Assessment. The ideal candidate possesses a deep understanding of Risk Control Self-Assessments, a high degree of...Senior Analyst and will work closely with the Senior Manager of Global Compliance Strategy and… more
- TD Bank (New York, NY)
- …Data Officer (CDO), Data and Delivery Initiatives (DDI) team, Compliance Technology, First-Line Risk and Control , and Front Office Technology to deliver a ... this role. **Job Description:** The TD Securities Compliance team is seeking a Senior Compliance Officer to join the Surveillance Data Quality Team. The team… more
- SMBC (New York, NY)
- …financial institution. + Knowledge of First Line of Defense risk and controls . + Functional knowledge of process and control design, including process ... responsible for overseeing and managing various programs and initiatives within the control office, helping to oversee effective governance, risk management, and… more
- TD Bank (New York, NY)
- …the Global Compliance Program, including transformation and technology initiatives. Reporting to the Senior Manager , CPM, the Manager ensures **r** egulatory ... criteria and reporting thresholds to ensure timely visibility of significant risks and control gaps to senior leaders. + Conduct deep dives and investigation… more
- Wells Fargo (New York, NY)
- …across all levels of reporting; * Advanced knowledge of Financial Conduct Authority Senior Manager Regime; * Expertise with legal entity structures within US ... COO Management Committee, International Management Committee, International Operating Committee, International Risk & Control Committee, regional legal entity &… more
- Zurich NA (Albany, NY)
- …Markets at Zurich! This role will be filled at either theMid- Senior or Senior Level. The hiring manager will determine the appropriate level based upon the ... Life Sciences Underwriter (Mid- Senior - Senior ) 118829 Zurich is...focus on improving the customer experience by understanding their risk and offering the best end to end solution… more
- M&T Bank (Buffalo, NY)
- …technologies, policies, and procedures. + Understand and adhere to the Company's risk and regulatory standards, policies, and controls in accordance with ... Risk Appetite. Design, implement, maintain, and enhance internal controls to mitigate risk on an ongoing...reflects the M&T Bank brand. + Maintain M&T internal control standards, including timely implementation of internal and external… more
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