- TD Bank (New York, NY)
- …who can provide you more specific details for this role. **Job Description:** This VP , Compliance is a key member of the TDS US Compliance Monitoring & Testing ... other aspects of the Core Compliance program as needed. The VP Compliance TDS oversees/leads a team(s) of specialists/professionals providing advice, guidance… more
- TD Bank (New York, NY)
- …this role. **Job Description:** We're looking for a technically skilled and business-savvy VP to join our Equities Client Strategy & Analytics / Front Office Global ... scalable solutions that transform complex, siloed data into actionable insights. The VP Trading Business Management TDS is responsible to provide the leadership team… more
- MUFG (New York, NY)
- …with various stakeholders in registering / opening data issues (Self Identified / Audit / Compliance) + Work closely with Auditors and other Control personnel to ... determine MSIIs / audit points. Assist the broker dealer entity in correctly...other meetings + Work closely with business unit risk manager across the lifecycle of the Issue Management process… more
- Citigroup (New York, NY)
- …process for deal post-closing amendment, consent and waiver requests. + Coordinate with the Audit manager and senior Underwriters on audit related matters ... noted in the audits. + Maintain organized credit files for credit, regulatory , and compliance purposes. + Prepare and present Quarterly Portfolio Reviews to… more
- Citigroup (Getzville, NY)
- …Operational processes and identification/remediation of control gaps; adherence to regulatory obligations; internal policy awareness and adherence; review of new ... business initiatives; Issue and incident governance; internal and external audit preparation and facilitation. **Responsibilities:** + Work with Management on… more
- Synchrony (New York, NY)
- Job Description: **Role Summary/Purpose:** The VP , Professional Practices Senior Manager plays a key leadership role within the Internal Audit function. This ... annual audit plan development and quarterly refresh, audit committee and board reporting, regulatory engagement,...consistently meet performance expectations and have approval from your manager to post (or the approval of your … more
- Tradeweb (New York, NY)
- …trading. https://www.dol.gov/ofccp/regs/compliance/posters/pdf/eeopost.pdf **Group Details** Tradeweb is seeking a VP , Technology, Internal Audit to take on ... coach team members and monitor their performance against internal audit methodology requirements + Perform manager reviews...individual goals + Identify opportunities to leverage work across audit reviews, SOX 404, SOC and regulatory … more
- Huntington National Bank (New York, NY)
- …a result of the TMT team's robust growth, it is seeking to add an Associate / Vice President - Portfolio Manager who is capable of leading and supporting the ... 10x over the last 4 years. The Associate / Vice President - Portfolio Manager ...addressing key risks & mitigants, credit policy exceptions, and regulatory designations within underwriting documents of record. A successful… more
- TD Bank (New York, NY)
- …this role. **Job Description:** TD Securities is seeking an experienced and strategic Vice President to join our Compliance Control Room, focusing on portfolio ... key stakeholders with Global Control Room and Compliance broadly to respond to regulatory inquires and internal audit requests, including, requests for data, and… more
- TD Bank (New York, NY)
- …for this role. **Job Description:** Our TD Securities Compliance team is seeking a VP Compliance Manager for the brand new Trade Surveillance Quality Assurance ... on regulatory requirements and assisting business units to manage their regulatory risk. The Surveillance Quality Assurance Manager will work with the… more