- SMBC (Jersey City, NJ)
- …other resources as new emergent risks are identified. This role will include conducting compliance risk assessments of certain US legal entities in the role of ... outside of the CRA team in their conduct of compliance risk assessments for the legal entities...related to the CRA program. + Assist Head of Risk and Control Assessment and CRA Program… more
- TD Bank (New York, NY)
- … and self- assessment activities for designated business using TD's Enterprise Compliance Risk Assessment Framework + Monitors that assessments ... a mission to build a more resilient and scalable compliance risk management function. As part of...(monitoring, risk assessment etc.) are completed and communicated in a continuous… more
- TD Bank (New York, NY)
- … and self- assessment activities for designated business using TD's Enterprise Compliance Risk Assessment Framework + Monitors that assessments ... more specific details for this role. **Line of Business:** Compliance **Job Description:** **Job Description:** **The Ideal Candidate:** The...(monitoring, risk assessment etc.) are completed and communicated in a continuous… more
- TD Bank (New York, NY)
- … and self- assessment activities for designated business using TD's Enterprise Compliance Risk Assessment Framework + Monitors that assessments ... a mission to build a more resilient and scalable compliance risk management function. As part of...(monitoring, risk assessment etc.) are completed and communicated in a continuous… more
- SMBC (Jersey City, NJ)
- …IT, and escalating delays and other challenges to senior management. + Analyzing the Compliance Risk Assessment ("CRA") results to identify key control gaps ... Controls Inventory lead to ensure control gaps identified in the annual Compliance Risk Assessment are adequately remediated, including ensuring controls are… more
- Amazon (New York, NY)
- …relationships with internal TRC and transportation business teams to support cross-functional risk assessment and compliance initiatives - Deliver regulatory ... life - Apply DOT knowledge and risk assessment methodologies to business planning, escalations, and compliance...program - Build and maintain risk and compliance metrics, providing written risk assessment… more
- SMBC (New York, NY)
- …and maintain best practice across the Firm. + Plays a key role in the Compliance risk assessment exercise. **Qualifications and Skills** + Extensive ... function and is responsible for overseeing the management of the broker dealer's compliance risk , and is represented by the Chief Compliance Officer as… more
- Cushman & Wakefield (New York, NY)
- … compliance trainings and communications for their regions. + Develop an ethics & compliance risk assessment and monitoring program. + Review and revise ... **Job Title** Vice President, Global Ethics & Compliance Program **Job Description Summary** We are seeking a dynamic and experienced ethics & compliance leader… more
- TD Bank (New York, NY)
- …on a regular and ongoing basis. Additionally, this role will also support the Compliance Branch Inspections Risk Assessment process and perform overall ... and Risk Assessment ratings. + Partner closely with the Risk Assessment and Compliance Markets Advisory teams, as necessary, to create a cohesive… more
- Citizens (New York, NY)
- …+ Corporate Governance, + Compliance Management, + Regulatory Environment, + Risk Assessment , + Policy Development + Agility, Strategic Thinking, Empowering ... current knowledge of UDAAP and consumer protection industry best practices, including risk assessment and issue management and remediation. + In-depth knowledge… more