- Navient (Albany, NY)
- …mission, read more below, and let's build something great together! **The Senior Compliance Analyst position will report to the Sr . Compliance Manager - ... Head of 1st Line of Defense Compliance .** **As the Senior Compliance ...workflows. **About You:** + 3-4+ years of experience in regulatory compliance , audit, or operational risk &… more
- TD Bank (New York, NY)
- …drafting, updating, and implement relevant policies and procedures. + Provide regulatory / compliance training. + Participate in internal investigations, respond ... trading systems and market structure preferred + Significant experience in providing legal, regulatory or compliance advice to Equity Sales & Trading Businesses… more
- American Express (New York, NY)
- …conflicting priorities under tight timeframes. **Preferred Qualifications:** + Certified Regulatory Compliance Manager (CRCM) Certification + Advance degree ... practices as appropriate. + Oversee the development and review of Bank compliance -related policies and procedures, ensuring they meet regulatory expectations and… more
- TD Bank (New York, NY)
- …We are seeking a strategic and analytical Manager to join our Enterprise Regulatory Compliance Management (RCM) Risk Assessment team. This role is ideal ... alignment with regulatory expectations.** + **Participate in regulatory reviews, internal audits, and compliance testing...and training exemption governance and reporting processes to the Compliance Senior Executive Team (and related … more
- Capgemini (New York, NY)
- …in consulting or industry roles focused on finance, risk management, or regulatory compliance , ideally within financial services or other regulated sectors. ... you will: + Lead strategic client engagements across finance, risk, and compliance , translating complex regulatory requirements into actionable operating models… more
- KeyBank (NY)
- …and monitoring processes (including analytics), and applicable techniques for implementation of regulatory compliance requirements and compliance processes + ... training or continuing education opportunities to further develop overall knowledge of regulatory compliance , banking products and services, industry trends, and… more
- Bloomberg (New York, NY)
- Senior Compliance Officer - Data Privacy...Support, and at times lead the team, on specific regulatory Compliance projects /initiatives for privacy, for ... - Legal & Compliance Location New York Business Area Legal, Compliance , and Risk Ref # 10043072 **Description & Requirements** The energy of a newsroom, the pace… more
- S&P Global (New York, NY)
- …role is based in New York and will be responsible for supporting the regulatory Compliance Program for the North American Structured Finance and Financial ... **About the Role:** **Grade Level (for internal use):** 11 ** Compliance & Control, Senior Analyst - Ratings**...individuals with a strategic mindset and a passion for regulatory compliance , this presents an exciting opportunity… more
- TD Bank (New York, NY)
- …all jurisdictions. Analyzing and scoping the impact of new and complex regulatory and compliance developments across senior function/business/product, ... a regulator or law firm will be considered. + Experience in providing legal, regulatory or compliance advice to Markets sales and trading + Knowledge Corporate… more
- TD Bank (New York, NY)
- …specific details for this role. **Job Description:** TD has enhanced its Regulatory Compliance Management Framework (RCM) and is implementing new enhancements ... a strong risk culture and comprehensive approach to managing regulatory compliance risk. This Director - ...senior and line managers and other stakeholders on regulatory interactions. + Strong analytical skills, attention to detail,… more