- BlackRock (New York, NY)
- **About this role** BlackRock's Global Compliance Department protects BlackRock's reputation and provides advice to the business focused on ensuring the protection ... decisions to champion our clients' interests and assist the business in translating Compliance into their daily work and decision making; + Cultivating and enhancing… more
- University of Rochester (Rochester, NY)
- …that enable research involving human subjects, sustaining safety and compliance while advancing knowledge. **ESSENTIAL FUNCTIONS** + Reviewing protocols submitted ... for approval by IRB for completeness and compliance with the Office of Human Subject Protections (OHSP)...representatives, and various stakeholders to build a culture of compliance . + Assisting researchers with compliance reporting… more
- Citigroup (Getzville, NY)
- …of issues with key stakeholders, such that Citi achieves and maintains compliance and appropriately remediates findings from internal and external reviews as well ... + Ensure on-time and quality execution of QA reviews across assigned portfolio in compliance with Issue Management Policy, Standards, and Procedures. + Act as a key… more
- JPMorgan Chase (Pittsford, NY)
- …+ Monitor and analyze active account and book reviews to ensure compliance and optimize client investment strategies. + Ensure team members understand their ... 24, and 53), 66 (or 63/65) FINRA licenses, ensuring compliance with industry standards. + Valid and active Life,...skills with exceptional attention to detail, ensuring accuracy and compliance in all tasks. + Proven judgment and problem-resolution… more
- JPMorgan Chase (Brooklyn, NY)
- …stakeholder groups, including CIB business units, other Lines of Business, and Compliance , to deliver a robust ABC governance framework. Your role involves ... maintaining and enhancing the ABC reporting framework, collaborating with Compliance , developing analytics, and guiding the evolution of ABC governance. **Job… more
- Citigroup (New York, NY)
- …of issues with key stakeholders, such that Citi achieves and maintains compliance and appropriately remediates findings from internal and external reviews as well ... of issues with key stakeholders + Support issue quality reviews ensuring compliance with Issue Management Policy, Standards and Procedures + Facilitate Business /… more
- American Express (New York, NY)
- …impact in this role?** The American Express Global Financial Crimes Compliance (GFCC) function provides second-line policy, framework, oversight and control ... and Standards (TPS) will lead efforts multiple integrated workstreams to enable compliance with the firm's Financial Crime Risk Management Policy and Standards. This… more
- SMBC (New York, NY)
- …align with organizational objectives and meet established standards for performance, compliance , and risk management. A key responsibility of this position is ... Coordinate the onboarding process for new vendors, including risk assessments, and compliance reviews. + Ensure all vendors meet internal policies and regulatory… more
- SMBC (New York, NY)
- …distributions, etc. Follow up on delivery of Borrower's reporting requirements (ie compliance items) Review compliance documents submitted by borrowers for ... completeness and satisfaction of requirements in loan documents Distribute compliance items and other documentation to lender groups using DebtDomain, e-mail, etc.… more
- Citigroup (Getzville, NY)
- …which is responsible for executing daily controls to mitigate the inherent risk of non- compliance with the SEC's Client Asset Protection rule (15c3-3), a Tier 2 US ... strength of the internal control framework (known as the 17a-5 Annual Compliance Report). Internally, this role regularly interfaces with NY-based Markets businesses… more