- TD Bank (New York, NY)
- …regulatory compliance risk and conduct risk;** **Job Summary:** The Senior Compliance Business Oversight Analyst provides objective guidance, support and ... colleagues dedicated to setting new industry standards. **Department Overview:** **U.S. Wealth Compliance acts as an independent regulatory compliance and… more
- Ankura (New York, NY)
- …Disputes & Economics professionals are world class and globally recognized independent experts who tailor financial, operational, and compliance solutions ... and conduct data gathering activities, document review, and quality control of data assessment . + Work with Senior Managing Directors and Managing Directors to… more
- GCI Communication Corp (Anchorage, AK)
- GCI's Senior Compliance & Controls Transformation Analyst will champion com pliance within GCI's Business to Business (GCI B), Business to Consumer (GCI C), ... Accounting, Finance, and Application Technology departments as part of the Compliance & Controls Transformation (second line of defense) team. Proactively identify … more
- Tucson Electric Power (Tucson, AZ)
- **Corporate Compliance and Ethics Specialist I, II or Senior ** Company **Tucson Electric Power** Location **Tucson, AZ** Requisition ID **6105** **About Us** UNS ... employees,here (https://youtu.be/hpknvJPLuoc) andhere (https://youtu.be/7BECywu-Re4) . **Job Description - Corporate Compliance and Ethics Specialist I, II or Senior… more
- Heritage Financial Credit Union (Middletown, NY)
- Senior Lending Compliance Analyst - Remote (Onsite as Needed) Fully Remote * Middletown, NY ... Description Come join Heritage Financial Credit Union's Risk & Compliance team as the Senior Lending ...and cooperate with the designated BSA Officer in assuring compliance . ESSENTIAL FUNCTIONS AND RESPONSIBIITIES + Using independent… more
- Wellington (Boston, MA)
- …our perspectives with those of our clients. **About the Role** POSITION The Compliance Senior Analyst will support Wellington Management's Americas compliance ... business stakeholders on regulatory issues and business change. The Compliance Senior Analyst will be a member... Compliance initiatives, including oversight of the Global Compliance Training Plan, Global Regulatory Risk Assessment ,… more
- Citigroup (Getzville, NY)
- Serves as a senior vice president of Compliance Data Risk Oversight lead for Independent Compliance Risk Management (ICRM) responsible for developing and ... holder will support Business Execution initiatives, Cross-Functional initiatives and Compliance Independent Reviews, including the DCRO Program.… more
- Citigroup (Getzville, NY)
- Serves as a senior vice president of Compliance Data Risk Oversight lead for Independent Compliance Risk Management (ICRM) responsible for developing and ... holder will support Business Execution initiatives, Cross-Functional initiatives and Compliance Independent Reviews, including the DCRO Program.… more
- Aegon Asset Management (Cedar Rapids, IA)
- …and senior management. + Active participation in the periodic compliance risk assessment process, development of annual testing plans, scheduling/assignment ... and guidance from management. Job Description Responsibilities: + Perform risk-based independent compliance testing for the record-keeping and fiduciary… more
- JPMorgan Chase (Jersey City, NJ)
- …and control gaps within databases, internal controls, data governance, and cybersecurity; Compliance risk assessment ; Operational risk assessment ; Residual ... metrics, risk appetite, tolerance and governance. Ensure that the compliance , conduct and operational risk framework is in place...risk assessment ; Material Risk Inventory (MRI); Independent Risk Assessment ; Key Risk Indicator (KRI)… more