- TD Bank (New York, NY)
- …provide you more specific details for this role. **Job Description:** **Preferred Qualifications:** This Senior Compliance Officer is a key member of the TDS ... US Compliance Monitoring ...businesses, working with regional testing teams across the globe. This Compliance Officer will also support other aspects of… more
- KeyBank (Albany, NY)
- …they relate to consumer deposit accounts. Additionally, The Senior Compliance Officer will conduct compliance monitoring and testing to ensure ... **Location:** 4910 Tiedeman Road, Brooklyn Ohio The Senior Compliance Officer will...the development of new products and/or processes. + Conduct compliance monitoring to proactively identify process improvements… more
- TD Bank (New York, NY)
- …your recruiter who can provide you more specific details for this role. **Job Description:** This Senior Compliance Officer is a key member of the TDS US ... Compliance Monitoring & Testing (M&T) Team, responsible...Excel, Word, PowerPoint and SharePoint. **General Job Description:** The Senior Compliance Officer provides advice,… more
- TD Bank (New York, NY)
- …for this role. **Line of Business:** Personal & Commercial Banking **Job Description:** The Sr . Commercial Loan Officer is an external sales role which focuses ... meets or exceeds annual sales, revenue, volume & new customer objectives. The Sr . Commercial Loan Officer maximizes profitability, revenue and retention of new… more
- Research Foundation CUNY (New York, NY)
- … with uniform guidance; ensuring that sponsor financial requirements are met; monitoring compliance with applicable project and financial management rules and ... sectors such as healthcare, technology, construction, and business. Reporting to the Executive Officer , the Sr . Manager of Data Strategy and Reporting will… more
- Bank of America (New York, NY)
- …Communications + Active Listening + Issue Management + Liquidity Management + Monitoring , Surveillance, and Testing + Regulatory Compliance **Shift:** 1st shift ... Enterprise Financial Risk Capital Markets Risk Sr . Specialist Charlotte, North Carolina;New York, New York...the CFO managed securities portfolio. As the Chief Risk Officer (CRO) function covering the Chief Financial Officer… more
- Capital One (New York, NY)
- Senior Business Manager, BA - Data Transformation, Office of the Chief Data Officer At Capital One, data and analytics are at the center of everything we do. It ... transform banking and financial services. We are seeking a Senior Manager to help drive our enterprise data transformation...to help drive our enterprise data transformation forward. The Sr . Manager will lead a team of approximately5 business… more
- City National Bank (New York, NY)
- * COMPLIANCE OFFICER SENIOR -MORTGAGE ORIGINATION* WHAT IS THE OPPORTUNITY? The Compliance Officer Senior - Mortgage is responsible for managing ... and maintaining assigned areas of the compliance program covering US Mortgage Banking including monitoring business area compliance with applicable laws and… more
- City National Bank (New York, NY)
- * COMPLIANCE OFFICER SENIOR -INVESTMENT ADVISORY* *WHAT IS THE OPPORTUNITY?* The Senior Compliance Officer will act in a compliance oversight ... responsible for managing and maintaining assigned areas of the compliance program including monitoring business area compliance with applicable laws, rules,… more
- Citigroup (Getzville, NY)
- Serves as a senior vice president of Compliance Data Risk Oversight lead for Independent Compliance Risk Management (ICRM) responsible for developing and ... developing systems and reporting to facilitate ongoing oversight and monitoring of data compliance risks. Analyze the...within Citi, as necessary. + Acting as SME to senior stakeholders and /or other team members in relation… more
- Citigroup (Getzville, NY)
- Serves as a senior vice president of Compliance Data Risk Oversight lead for Independent Compliance Risk Management (ICRM) responsible for developing and ... developing systems and reporting to facilitate ongoing oversight and monitoring of data compliance risks. Analyze the...within Citi, as necessary. + Acting as SME to senior stakeholders and /or other team members in relation… more
- JPMorgan Chase (New York, NY)
- …the status quo and striving to be best-in-class. As a Regulatory Strategy Senior Officer - Associate within the Firmwide Regulatory Strategy team, you ... to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan...managers on all regulatory engagements, including examinations and ongoing monitoring that influence the Asset & Wealth Management operations… more
- City of New York (New York, NY)
- …steward of the resources of plan beneficiaries and the City of New York. The Senior Investment Officer will assist in overseeing the investment activity for the ... for the five New York City pension systems. The Senior Investment Officer will report to the...the internal Investment Committee and Boards of Trustees; - Monitoring the portfolio of existing fund and co-investments to… more
- HUB International (New York, NY)
- …investment advisor and limited purpose FINRA Broker-Dealer: The Chief Compliance Officer , will be a highly visible, senior leadership position, reporting ... directly into the Global/Executive Chief Compliance and Risk Officer , working closely with RPW senior leadership to collectively support the growing RPW… more
- KeyBank (Albany, NY)
- …second line of defense Compliance Risk Management function, the Complaint's Management Compliance Officer is responsible for helping to execute a robust and ... This role is expected to promote an organizational culture that encourages acknowledgement and recognition of compliance risks and places a high priority on risk… more
- SMBC (New York, NY)
- …addition, the Regulatory Governance team is responsible for production of Annual Compliance Reports and related senior officer certifications. ... Program areas: + Policies and Procedures Management + Compliance Training + Issues Management + Monitoring ...reminders and other communications. + Support production of Annual Compliance Report and related senior officer… more
- City National Bank (New York, NY)
- …for new or revised laws and regulations. * Assist the Compliance Manager, Senior Compliance Officer , and Risk Assessment team with the evaluation of ... line of business to remediation plans. * Works with Senior Compliance Officer , Compliance...other tracking reports as deemed necessary. * Conduct regulatory compliance monitoring activities as assigned and maintain… more
- Bloomberg (New York, NY)
- Compliance - US Bank Secrecy Act (BSA) Officer - New York Location New York Business Area Legal, Compliance , and Risk Ref # 10047869 **Description & ... compliance programs for the Americas. The BSA AML Officer will be responsible for ensuring compliance ...educate Bloomberg personnel (including the Board of Directors and senior stakeholder groups) about BSA related compliance … more
- Volunteers of America Upstate New York (Rochester, NY)
- …Up to 50% Description Position Title: Compliance and Quality Assurance Officer Reports to: Senior Vice President of Agency Advancement Exempt/Non-Exempt ... the agency operates within legal and ethical boundaries by monitoring adherence to all applicable laws, regulations, and internal...for staff credentials and clearances. 14. Serve as Corporate Compliance Officer . Prepare annual report to CEO… more
- KeyBank (Amherst, NY)
- … compliance with applicable laws and regulations through the execution of compliance monitoring and testing across Key's lines of business, products, and ... in the design and execution of wealth management testing and continuous monitoring to evaluate Key's compliance with regulatory requirements and expectations.… more