- Citigroup (New York, NY)
- …and exam deliverables/meeting requests required from Internal Audit , ensuring alignment with Citi's Corporate Regulatory Engagement model** **Perform ... **The Regulatory Exam Management Director leads IA's...while maintaining strong relationships with US Regulators aligned to Internal Audit ** **Maintain a strong understanding of… more
- TD Bank (New York, NY)
- …assessment, reporting and other activities** + **Centralized policy and reports inventories** + ** Internal Audit , regulatory exam , and ongoing ... overall enterprise strategies and objectives. + Provides responses to regulatory agencies and Internal Audit ....+ Provides responses to regulatory agencies and Internal Audit . Interacts directly and independently with… more
- TD Bank (New York, NY)
- …and standards for testing, monitoring, risk assessment, reporting and other activities;** + ** Internal Audit , regulatory exam , and ongoing supervision ... of insurance regulation.** + **Knowledge and experience within compliance or audit , legal and regulatory environment, enterprise governance framework, products… more
- TD Bank (New York, NY)
- …guidelines and standards for testing, monitoring, risk assessment, reporting and other activities; Internal Audit , regulatory exam , and ongoing ... setting new industry standards. US Wealth Compliance acts as an independent regulatory compliance and conduct risk management and oversight function as described in… more
- Citigroup (New York, NY)
- …applications (Excel, Word, PowerPoint) + Experience in regulatory and Internal Audit interaction, exam management/coordination, and issue management/ ... requires superior problem solving and excellent oral/written communication skills ( Regulatory , Risk, Internal Audit or...resolution **Job Family Group:** Compliance **Job Family:** Regulatory Liaison & Exam Management **Time Type:**… more
- Capital One (New York, NY)
- …across the team to deliver quality results which may include issue validations, regulatory exam support, and/or other team initiatives. Proactively take on ... of experience in banking or in financial services + 4+ years experience in internal audit or risk management (can be combined with Big Four external Audit … more
- Mizuho Corporate Bank (New York, NY)
- …requests. + Coordinate cross-functional input to ensure timely and accurate responses to regulatory bodies. Regulatory Exam and Data Management: + Manage ... Join the Mizuho team as a Technology Regulatory Affairs Specialist! We are seeking a dynamic...various stakeholders. Key Responsibilities Stakeholder Collaboration: + Partner with internal teams (eg, IT, Risk, Compliance, Audit )… more
- State of New York Mortgage Agency (New York, NY)
- …Planning, Accounting and Treasury Services, Facilities and Building Management Services, Internal Audit , Project Management and Information Technology Services. ... coordinate HCR's wide array of support services. Job Summary: Under supervision of VP Internal Audit or his/her designee, audit and evaluate the safeguarding… more
- City of New York (New York, NY)
- …- Engineering Audit , - Vendor Contract Audits & Risk Management, - Internal Audit /Risk Management, - Non-Public Schools Audit & Special Projects, ... are reachable on the open-competitive list (Associate Project Manager, Exam No. 3110) are eligible to apply. DCAS's mission...to learn more about the work we do. DCAS' Audit & Compliance Services unit (ACS) resides within the… more
- TD Bank (New York, NY)
- …in alignment with risk appetite + Participates in responding to periodic exams/audits by regulatory bodies and Internal Audit , to determine level of BSA/FCRM ... management in delivery of initiatives related to risk assessment, internal /external exam support, etc. **Depth & Scope:**...provide guidance for complex situations + Complies with applicable internal and external audit and regulatory… more
- TD Bank (New York, NY)
- …process steps prior to closure + Tracking US Compliance Enforcement Actions. + Managing audit and regulatory exams for Regulatory Change. + Manage governance ... environment + Experience assembling data or material from an audit or exam for regulators + Ability...support creation of documentation and reports required by external regulatory bodies and TD internal groups +… more
- Citigroup (New York, NY)
- …conflicts. + Lead the management of regulatory examinations, including pre- audit preparation, coordination with internal stakeholders, and post- exam ... requirements, and guidance on the supported function/business/product and the associated regulatory rules/laws and interpretation on internal policies and… more
- City National Bank (New York, NY)
- …an enhanced operating model for 2LOD review and challenge activities which meet Internal Audit and regulatory expectations * Understand material existing ... and control environment arising from risk assessments, risk monitoring, internal and external events, and regulatory exams...1LOD stakeholders, 2LOD risk type and capability teams, and Internal Audit across disciplines in support of… more
- SMBC (New York, NY)
- …External Oversight Requirements** 1. Assist with exam / monitoring/ testing management from internal audit and control departments. 2. Support exam and ... of issues for market and liquidity risk across legal entities. Issues include regulatory issues, audit issues and management self-identified issues. 2. Engage… more
- TD Bank (New York, NY)
- …reviewing risk assessments, vendor engagements, reviewing audit findings and regulatory issues to support exam responses, reviewing business policies and ... business, leading review of brand and consumer product marketing, completing regulatory research, assisting with regulatory change management, issue management,… more
- City National Bank (New York, NY)
- …management skills and be accustomed to working with deadlines. * Certified Regulatory Compliance Manager (CRCM), Certified Internal Auditor (CIA), and/or ... Auditor (CFSA) designation a plus. * Experience communicating and interacting with regulatory agencies, including exam management and other regulatory … more
- Scotiabank (New York, NY)
- …and peers within compliance. **What You'll Bring** + A minimum of 5 years of compliance, audit or regulatory exam support experience with at least 3 of which ... audit . + Experience/background in compliance applicable to broker-dealer internal inspections, institutional trading & sales, investment banking, futures… more
- Scotiabank (New York, NY)
- …and efficient testing and reporting experience. **What You'll Bring** + 3-5 years of compliance, audit or regulatory exam support, at least 3 of which should ... compliance testing in order to assess compliance with legal, regulatory and internal firm policy requirements. +...involve testing or audit . + Experience/background in compliance applicable to institutional trading… more
- S&P Global (New York, NY)
- …SOX/SOC controls mapping and reporting to maintain transparency and accountability. + Coordinate audit and regulatory exam processes to ensure seamless ... **About the Role:** **Grade Level (for internal use):** 12 **S&P Global Corporate** **Manager, First...as well as with Enterprise Risk and Compliance, and Audit . + Lead efforts in defining and documenting a… more
- American Express (New York, NY)
- …that governance structures, policies, and procedures are robust, effective, and align with regulatory requirements and best practices. The Audit & Regulatory ... in a safe, sound, and fully compliant manner with all applicable regulatory expectations. GRC creates and maintains the overall risk management framework, performs… more