- Wellington (Boston, MA)
- …with those of our clients. **About the Role** Position overview The Senior Compliance Analyst will support Wellington Management's global investment & trading ... evolving areas and implementing enhancements where necessary. The Senior Compliance Analyst will be a member of...their impact on our firm + Advising forensic and compliance testing teams on areas of focus,… more
- MUFG (New York, NY)
- …in real time and serve as owner of production issues. + Interface with Regulatory bodies (DTCC) to identify potential gaps and ensure compliance including any ... short/long term requirement which may impact internal Regulatory Reporting System file feeds and architecture + Provides articulate and accurate reporting to the… more
- Citigroup (O'Fallon, MO)
- …places a strong emphasis on analytical thinking, the use of data analytics in compliance testing , and the ability to investigate deeply and drive meaningful ... results. **Responsibilities:** + Develop, implement, and execute compliance testing and monitoring activities in alignment with Citi's Compliance Testing … more
- Robert Half Finance & Accounting (King Of Prussia, PA)
- …One of our premier clients is currently looking for a Sr. SOX Compliance Analyst with proven expertise overseeing organizational Sarbanes-Oxley programs. As the ... Sr. SOX Compliance Analyst , you will assess, document, test,...Primary Duties . Research regulations and policies . Manage compliance regulatory requests . Assist with the… more
- M&T Bank (Buffalo, NY)
- …applicable compliance /operational risk controls in accordance with Company or regulatory standards and policies. + Promote an environment that supports belonging ... assisting with the identification and assessment of risks, risk monitoring and testing , and issues management. Provide assistance in the development of various… more
- TD Bank (Portland, ME)
- …**Department Overview:** **U.S. Wealth Compliance acts as an independent regulatory compliance and conduct risk management and oversight function as ... ethics and compliance across the organization to manage and mitigate regulatory compliance and conduct risks;** + **Contribute to growth, innovation and… more
- Cargill (Houston, TX)
- …Credit, Middle Office, Finance, Operations, Accounting and Legal, as well as with Regulatory Compliance teams including Testing & Auditing, Business Support ... assist in the remediation of operational deficiencies impacting compliance and compliance testing findings. * Support regulatory inquiries; conduct… more
- Guardian Life (Nashville, TN)
- …to be part of a collaborative Compliance Legal Team? As a Senior Compliance Analyst , Park Avenue Securities, and Park Avenue Investment Advisory, you will ... conduct branch office inspections using risk-based testing methodologies to ensure compliance with FINRA...in certain circumstances, various state insurance laws. The Lead Compliance Analyst is responsible for developing a… more
- TECO Energy (Tampa, FL)
- **Title:** SOX Compliance Analyst Sr **Company:** Tampa Electric Company **State and City:** Florida - Tampa **Shift:** 8 Hr. X 5 Days **POSITION CONCEPT** The ... SOX Compliance Analyst Sr is responsible for supporting...Plays an essential role in helping the organization maintain compliance with regulatory standards, promote risk mitigation,… more
- Lowe's (Mooresville, NC)
- …and internal controls. The Analyst will verify the effectiveness of customs compliance processes by performing compliance testing of all import and ... **Your Impact** The Customs Compliance Analyst is responsible for managing...also work with US Customs and Border Protection (CBP) regulatory audit division and the Canada Border Services Agency… more