- University of Rochester (Rochester, NY)
- …and monitoring compliance programs that meet all applicable legal, regulatory , and contractual obligations, while also advising senior leadership on ... assessments, and other relevant documentation to senior leadership and regulatory agencies. + **Subcontractor Compliance ** : Ensure all subcontractors 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 ...senior and line managers and other stakeholders on regulatory interactions. + Strong analytical skills, attention to detail,… more
- JPMorgan Chase (New York, NY)
- …Operations, and other Compliance teams to ensure a coordinated approach to regulatory compliance . + Identify practical uses of AI to enhance compliance ... to SEC, Erisa, Reg 9, FCA, and other relevant regulatory requirements. + Identify, assess, and mitigate compliance...Senior Management, Investment professionals, controls, risk, legal and compliance . + Lead the Global Equities Compliance … more
- American Express (New York, NY)
- …or equivalent + 3 years of experience in a consumer and/or enterprise regulatory compliance role within internal/external audit, or similar in the financial ... or card products industries. + Knowledge and experience with US Consumer Compliance regulatory requirements applicable to the financial industry + Including,… more
- City National Bank (New York, NY)
- …in a compliance advisory role supporting consumer banking on matters of regulatory compliance . The role will be responsible for managing and maintaining ... management skills and be accustomed to working with deadlines. * Certified Regulatory Compliance Manager (CRCM), Certified Internal Auditor (CIA), and/or… more
- SMBC (New York, NY)
- …the New Product, Underwriting, Risk Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage area or process ... and discipline to follow up on issues until resolved. + 10+ years of regulatory compliance experience at a broker dealer. BA/BS required. Series 7, 24, 79 a… more
- Mohawk Valley Health System (Utica, NY)
- Sr Director Quality Management & Regulatory Affairs - Full Time - Days Department: QUALITY IMPROVEMENT Job Summary The Senior Director of Quality Management ... Provides leadership for advancing, developing, refining and innovating quality and regulatory operations throughout the organization. The Senior Director of… more
- TD Bank (New York, NY)
- …details for this role. **Job Description:** **Preferred Qualifications:** TD Securities' Regulatory Compliance Management Framework (RCM) is implementing new ... its strong risk culture and strategic approach to managing regulatory compliance risk. This is a newly...senior and line managers and other stakeholders on regulatory interactions. + Ability to thrive in a fast-paced,… more
- City of New York (New York, NY)
- …for equitable growth. Your Team: The Division of Economic Opportunity and Regulatory Compliance (EORC) supports HPDs mission by reviewing the integrity ... from the Agency. The Office of Economic Opportunity and Regulatory Compliance is composed of 5 Units:...Section 3, and Local Hiring initiatives Your Impact: The Senior Compliance Analyst - M/WBE Compliance… more
- Guardian Life (New York, NY)
- … Team? **You will** Provide Compliance support and oversight regarding regulatory compliance matters and requirements including: + Reviewing and interpreting ... technology. **Reporting Relationships** As our Compliance Lead, you will report to our Senior Compliance Leader, who reports to the Head of Group Benefits … more
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