- 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
- 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
- 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
- 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
- CARMAX (Kennesaw, GA)
- …best-in-class data products and insights that empower compliance , audit, and legal teams to make informed, risk -aware decisions.** The Compliance ... for Compliance oversight for the enterprise. This person will support compliance control monitoring, data management programming, and report development and… more
- Barnes & Noble (New York, NY)
- …by Director. * Generate and review product, import, vendor and similar reports for compliance risk assessment daily or weekly at the direction of Director. * ... Title: Compliance Analyst Category: Legal EmploymentType: Full-Time...data and documentation with a proactive approach to assessing risk . The Compliance Analyst will document and… more
- University of Rochester (Rochester, NY)
- …Experience with Epic Required + Proficient in Excel Required + Project Management Experience Required **ESSENTIAL FUNCTIONS** Compliance : + Develops and ... and internal equity considerations._ **Responsibilities:** GENERAL PURPOSE Sr. Quality and Compliance Sp, PCMH promotes compliance with Patient Centered Medical… more
- Robert Half Finance & Accounting (Boston, MA)
- …systems, and maintain accurate documentation processes. Requirements At least 2-5 years of compliance or risk management experience for a broker-dealer or ... Management firm looking to bring onboard a Compliance Analyst. The role is in Boston, mostly in...Boston, mostly in office. This role focuses on ensuring compliance and mitigating risk within a financial… more