- Raymond James Financial, Inc. (New York, NY)
- …Clear communication of all exam findings to branch management, exam managers and compliance leadership + Provide reporting of exam findings and complete any related ... + Ensure risks and adverse trends are identified and escalated + Provide compliance support to business partners, as needed + Maintain regular interaction with … more
- Wells Fargo (New York, NY)
- …of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively following and adhering to ... of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively following and adhering to… more
- Wolters Kluwer (New York, NY)
- About the Role: As a member of the Americas Employee Relations & HR Compliance COE, you play a critical role in upholding and reinforcing Wolters Kluwer's Values, ... state agency claims, hotline complaints. In collaboration with the Global Compliance & Legal Department and corresponding HR partners, prepare written investigation… more
- Janus Henderson Investors (New York, NY)
- …key stakeholders across Investments, Marketing, Distribution, Media Relations, and Compliance . + Take content from concept through completion, ensuring deliverables ... has passed. You will be expected to understand the regulatory obligations of the firm, and abide by the...this position. You will be expected to understand the regulatory obligations of the firm, and abide by the… more
- University of Rochester (Rochester, NY)
- …Principal Investigators (PI), research staff, study sites, and sponsoring and regulatory agencies. + Manages and mentors research coordinators of various levels. ... of human subject research in accordance with approved protocols and in compliance with the Good Clinical Practices (GCPs), including training on policies and… more
- M&T Bank (Buffalo, NY)
- …and DevOps practices, enhancing delivery, speed, and operational resiliency + Ensure regulatory compliance and security across all consumer and business banking ... well as modern digital platforms, API and cloud native architectureFamiliarity with regulatory and compliance frameworks + Prior experience working on multiple… more
- Scotiabank (New York, NY)
- …of day-to-day business controls to meet obligations with respect to operational risk, regulatory compliance risk, AML/ATF risk and conduct risk, including but ... not limited to responsibilities under the Operational Risk Management Framework, Regulatory Compliance Risk Management Framework, AML/ATF Global Handbook and the… more
- University of Rochester (Rochester, NY)
- …human subject research specific to study protocols and generally in compliance with Good Clinical Practice (GCPs) guidelines and sponsor requirements. Directs ... Transact school payments, track budgets, and reimburse program expenses. + Regulatory : Coordinates and monitors financial data for budget and variance reporting,… more
- Zurich NA (New York, NY)
- Senior Compliance Advisor 125662 **Let's grow together!** Zurich Cover-More is one of the world's largest travel insurance and assistance providers and part of ... providers and leading retailers. **What's the job?** As our Senior Compliance Advisor for Zurich Cover-More North...work closely with business leaders to identify and manage compliance risks, ensure regulatory obligations are met,… more
- Amalgamated Bank (New York, NY)
- …AI environments. + Strong background in IT risk, data governance, and regulatory compliance . + Demonstrated experience in managing and developing high-performing ... risks related to data and AI. + Represent the audit function in senior management meetings, risk committees, and external regulatory interactions when relevant.… more