- TD Bank (New York, NY)
- …professional judgment regarding responsiveness and appropriateness.** **In this position, the Compliance Audit & Exam Specialist will assist the team in ... Department, the US CCO and the Compliance Executive Team** **The Audit and Exam Management team of US Compliance Operations and Governance manages… more
- New York State Civil Service (New York, NY)
- NY HELP Yes Agency Office of Cannabis Management Title Program Specialist 1 (Cannabis) (NY HELPS) - VID 187426 Occupational Category Other Professional Careers ... Duties Description Under the direction of their assigned Program Specialist 2 (Cannabis), the incumbent of this position will...will be working closely with the Surveillance and Regulatory Compliance units and will be responsible for oversight for… more
- M&T Bank (Bridgeport, CT)
- …of reporting and documentation, such as writing standards or reviewing non- compliance to standards, creating targeted risk assessments, or reporting on findings, ... or leading risk controls self-assessments. + Lead compliance efforts for respective function, ensuring adherence to industry regulations and standards through… more
- M&T Bank (Bridgeport, CT)
- …assessing regulation and standards to achieve industry-leading technology risk compliance . + Spearhead collaboration among cross-functional teams and senior or ... accuracy and meeting regulatory request, organizing documents and packets, and leading exam management (ie, template folders, review of first day letter and… more
- TD Bank (New York, NY)
- …control checks of USCRCO key process steps prior to closure + Tracking US Compliance Enforcement Actions. + Managing audit and regulatory exams for Regulatory ... environment + Experience assembling data or material from an audit or exam for regulators + Ability...documentation to effectively report on the status of the Compliance program + Represents CGO as a specialist… more
- TD Bank (New York, NY)
- …testing, monitoring, risk assessment, reporting and other activities;** + **Internal Audit , regulatory exam , and ongoing supervision management, finding ... license or knowledge of insurance regulation.** + **Knowledge and experience within compliance or audit , legal and regulatory environment, enterprise governance… more
- TD Bank (New York, NY)
- …for testing, monitoring, risk assessment, reporting and other activities; Internal Audit , regulatory exam , and ongoing supervision management, finding tracking, ... who can provide you more specific details for this role. **Line of Business:** Compliance **Job Description:** **Why Work with Us?** At TD Bank US Compliance… more
- Truist (Greenwich, CT)
- …+ Maintain appropriate legal, operating and regulatory controls to manage risk and compliance . Works within the existing audit , compliance and regulatory ... retention and prospect referrals. This includes effectively executing on the specialist delivery model utilizing both centralized and regionalized partners to… more