- University of Rochester (Rochester, NY)
- …but not limited to Title IX, Clery Act, and FERPA. Strong understanding of regulatory compliance in academic, research and clinical settings and in federal ... direct access to senior leadership and act as the primary advisor on compliance -related matters. Risk Identification and Management: + In partnership with… more
- City National Bank (New York, NY)
- …rules, and regulations, and ensuring effective controls are in place to mitigate compliance risk . Maintaining regulatory change management, policies and ... agencies, including exam management and other regulatory affairs. * For Banking Compliance related roles, Certified Compliance Risk Manager (CRCM). * For… more
- SMBC (New York, NY)
- …to the President and is responsible for overseeing the management of the broker dealer's compliance risk and is represented by the Chief Compliance Officer ... of various committees such as the New Product, Underwriting, Risk Management, Compliance , IT Risk ...Nikko Securities Inc. **Role Objectives** + Assists in providing regulatory and compliance advice, identifying training needs,… more
- Capital One (New York, NY)
- …Bachelor's Degree or military experience + At least 6 years of experience in regulatory compliance , risk management or anti-money laundering (AML) ... or consulting experience **Preferred Qualifications:** + Bachelor's Degree in Business Management, Compliance , Risk , Legal, Finance or Accounting + 3+… more
- Cargill (Houston, TX)
- …Minimum of four years of related work experience + Relevant experience in Regulatory Compliance , Operations, Finance , Accounting, Audit, Legal, Sales, ... commercial teams, finance , operations, credit, technology, legal, and other compliance professionals to identify, monitor, and manage regulatory risks… more
- TD Bank (Portland, ME)
- …US Compliance , we're on a mission to build a more resilient and scalable compliance risk management function. As part of our team, you'll play a key role ... + Proactively advises the business of new and changed Compliance regulatory and/or policy changes + Formulates... Compliance Team procedures + Facilitates the periodic Compliance risk and self-assessment activities for designated… more
- KeyBank (NY)
- … Risk Management organization, this role plays a key part in ensuring regulatory compliance and effective risk management over all of the fiduciary ... management, including account administration best practices. + Proficiency in compliance risk assessments and monitoring methodologies. + Excellent written… more
- Marex (New York, NY)
- …agency bonds, municipal bonds, and US Treasuries as well as providing compliance advisory services regarding various other regulatory reporting requirements, ... unit(s). Such guidance will be tailored to resolving issues with consideration to regulatory requirements, regulatory and firm risk and industry best… more
- Weyerhaeuser (Vancouver, WA)
- …and analyze federal and state energy legislation and regulations to identify new or potential compliance risks * Regulatory Compliance * Serve as the ... Regulatory Compliance Manager * Manage Weyerhaeuser's compliance program with analysis of activities and guidelines to ensure compliance with policy,… more
- SMBC (Jersey City, NJ)
- …in Banking or Financial Services industry + 7+ years of experience in an Operational Risk or Compliance Risk role **Education:** + Required: BA/BS + ... services, including banking, leasing, securities, credit cards, and consumer finance . The Group has more than 130 offices and...Officer function plays a critical role in strengthening the Compliance function's risk and control environment by… more