- SMBC (New York, NY)
- …Commission (SEC) in the near future. The CCO will foster a culture of compliance and ensure local regulatory compliance requirements are met. Additionally, ... State and SEC-registered investment adviser, ensuring activities are conducted in compliance with applicable regulatory requirements. This includes global… more
- Citizens (New York, NY)
- …+ Bachelor's degree in Business, Finance, or equivalent. + Certified Regulatory Compliance Manager (CRCM) certification or equivalent is preferred. ... Description Compliance Director: Overview: This senior position...analytics, and reporting. Additional Skills: + Corporate Governance, + Compliance Management, + Regulatory Environment, + Risk… more
- TD Bank (New York, NY)
- …Responsible for analyzing and scoping the impact of new and complex regulatory and compliance developments across senior function/business/product, including ... with a regulator or law firm will be considered. + Experience in providing legal, regulatory or compliance advice to Markets sales and trading + Knowledge of… more
- BMO Financial Group (New York, NY)
- …Rule 17a-5. Applies specialized knowledge of Accounting & Financial management risk, regulatory compliance and internal controls related to financial processes ... and monitored in the business/group. The governance framework includes SEC/FINRA regulatory policies, guidelines and provides programs, practices and measures to… more
- City of New York (New York, NY)
- …Bureau directorates: the Directorate of Planning (new directorate), the Directorate of Regulatory Compliance , Strategy, and Innovation, and the Directorate of ... and the execution of the following responsibilities and activities within the Regulatory Compliance , Strategy, and Innovation Directorate including but not… more
- TD Bank (New York, NY)
- …for your business area/function and the bank, both internally and/or externally The Senior Compliance Office provides advice, guidance and support to business ... units in adhering to regulatory / compliance requirements and assists in implementing ...risk. **Depth & Scope:** + Works independently as the senior officer and may coach and educate others +… more
- New York State Civil Service (Albany, NY)
- NY HELP No Agency Empire State Development, NYS Title Senior Compliance Manager, Contractor & Supplier Diversity Occupational Category Other Professional Careers ... government, in some combination of MWBE and/or SDVOB, contract administration, regulatory compliance , grant administration, and/or construction. Contract … more
- TD Bank (New York, NY)
- …**Department Overview:** The Global Compliance Department is responsible for overseeing regulatory compliance across TDBG in accordance with the Global ... Operating Framework. The team is accountable for promoting regulatory compliance by developing and maintaining ...monitoring and oversight activities, reporting on the state of compliance to the Board, UDP and senior … more
- Mallinckrodt Pharmaceuticals (Hobart, NY)
- …site and serves as the site's subject matter expert (SME) on DEA regulatory compliance , offering guidance and support to management, supervisors, and staff. ... preferably in the area of manufacturing, quality assurance or regulatory compliance with emphasis on Controlled Substances...others know; clearly and concisely explains the issue to senior leadership; ensures handoff to the next level has… more
- Amazon (New York, NY)
- …regulatory and security conscious customers. We solve customers' most challenging regulatory compliance , audit, and risk management requirements to provide ... AWS. A successful candidate will have deep knowledge of regulatory compliance , audit, and risk management principles....You will have an opportunity to work directly with senior leadership within AWS to improve AWS' ability to… more
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