- SHI (Austin, TX)
- …member of our IT Compliance and Audit Team. As IT Operations Lead - Compliance , you will provide guidance to the Risk and Controls Team, collaborate with the ... or yours.** **Job Summary** The IT Operations Lead - Compliance will assess the effectiveness of IT controls, ensuring...functions: Foster and manage productive relationships with IT Teams, Risk and Resilience, Legal , and Internal Audit.… more
- TD Bank (New York, NY)
- …of compliance with firm policies for covered business areas + Conduct compliance risk assessments to ensure effective business control framework + Analyze ... alternative trading systems and market structure preferred + Significant experience in providing legal , regulatory or compliance advice to Equity Sales & Trading… more
- Blue Cross Blue Shield of Massachusetts (Hingham, MA)
- …to blue. The Role:The Medical Clinical Program Manager will focus on utilization management compliance and audit readiness activities such as evaluating and ... supporting Health and Medical Management 's (HMM) and delegate's compliance with the...to various levels in the organization, perform gap analysis, risk assessment, track issues/ risks to closure, and collaboratively… more
- City of New York (New York, NY)
- …risk , and risk mitigation recommendations. - Collaborate with HR, Legal , and other departments to ensure compliance -driven, comprehensive, and practical ... environment, values diversity and respects the dignity of all employees - Provide management support and guidance. The Director of Investigations and Compliance … more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …of enterprise policies. + Review and approval of enterprise policies at the Enterprise Risk Management Committee and when required the RJF Board of Directors or ... Strategic planning processes and tools and methodologies for strategy formulation. + Compliance obligations, industry rules and regulations, and legal general… more
- American Express (Sunrise, FL)
- …financial crimes compliance , know-your-customer (KYC), enhanced due diligence, screening/sanctions risk management , and/or operational risk + Proven ... Surveillance Unit (GFCSU) is part of the broader Global Risk & Compliance organization, operating within Global...by the Financial Intelligence Unit to ensure adherence to legal and regulatory standards as well as internal procedural… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- … risk in support of business requirements. + Recommend process improvements for risk management processes and procedures. + Document and maintain a record of ... required with a Master's degree preferred. Minimum of ten (10) years of Compliance , Legal , Banking and/or regulatory experience in the financial services… more
- TD Bank (New York, NY)
- …Bank 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 ... Skills:** + **Bachelor's degree in Business, Finance, Economics, Mathematics, Risk Management , Legal , or related...or related field.** + **7+ years of experience in compliance , business operations, risk management ,… more
- SHI (Somerset, NJ)
- …+ Liaisons with other functions: Foster and manage productive relationships with IT Teams, Risk and Resilience, Legal , and Internal Audit. + Assist IT teams and ... with other members to assess and validate IT security controls and compliance with applicable standards, requirements, and policies. This should include Business… more
- Robert Half Finance & Accounting (Minneapolis, MN)
- Description Vice President/ Compliance Officer - Twin Cities Metro Area Are you a seasoned compliance professional looking for your next leadership challenge? A ... the Twin Cities Metro Area is seeking a Vice President/ Compliance Officer to take ownership of its compliance...a related role within the financial services industry; relevant legal or regulatory agency experience is highly preferred. .… more