- 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
- MUFG (New York, NY)
- …Products/ Refresh of existing products + Liquidity Risk components for Enterprise-Wide Risk Governance Assessments + Compliance Assessment for Liquidity ... 2nd line of defense for MUFG Americas. **Main Responsibilities:** + Assessment for Significant Liquidity Risk by Business Lines / Products + Assessment for… more
- BMO Financial Group (New York, NY)
- …of the Fixed Income compliance program. Coordinate and performs risk assessment , monitoring, testing and surveillance activities to ensure program ... recommendations that significantly impact the Bank's ability to monitor regulatory compliance programs, minimize operational risk and align with regulatory… more
- City of New York (New York, NY)
- …related to internal and external audits are implemented. - Managing the Agencywide compliance through ACS' annual risk assessment process, which includes ... more about the work we do. DCAS's Audit & Compliance Services (ACS) consists of the following units: -...Preparation and review of NYC Comptroller's Directive 1, MoRMC Risk Assessment , the DOI Anti-Corruption Report, and… more
- American Express (New York, NY)
- … Risk Management & Risk Oversight (ERM&RO) organization within Global Risk and Compliance (a Second Line of Defense function) is responsible for ... risk management activities, including but not limited to, risk identification and assessment , risk appetite, effective challenge, and committee governance… more
- Citigroup (Queens, NY)
- …offer, and ultimately help them achieve their goals. The Investments and Insurance Risk Assessment and Control Design Managing Director will be responsible for ... of leadership experience in large global financial firms. + Deep global risk assessment and mitigation leadership experience across investments (including… more
- Mastercard (Harrison, NY)
- …Risk Assessment and Reporting Analyst, Open Banking Risk Assessment and Reporting Analyst, Open Banking Compliance Overview: Who is Mastercard? ... for driving large complex projects across the Americas Open Banking Risk and Compliance organization. The role will provide subject matter expertise to product… more
- SMBC (White Plains, NY)
- …of benefits to its employees. **Role Description** SMBC is seeking a Cloud Security Risk Assessment Vice President who is experienced working in a Cloud Security ... and controls for Service Providers and their supporting tools. The Cloud Security Risk Assessment Vice President will be responsible for maintaining a program… more
- Danaher Corporation (New York, NY)
- …+ Coordinate with the broader compliance team to implement business risk assessment initiatives and drive mitigation plans arising therefrom; and develop ... of settings. As a member of Cepheid Legal and Compliance , you can make an immediate, measurable impact on...and develop and implement corrective actions to mitigate identified risk . + Support Danaher and the Danaher Diagnostic Platform's… more
- YAI (Manhattan, NY)
- …+ Supports regional leadership with identifying compliance risks, completing an annual risk assessment , and developing an annual compliance plan for the ... & Responsibilities + Completes formal internal reviews and specialized risk assessments for YAI programs at least annually and...related to reportable incidents and occurrences as well as compliance and HIPAA concerns. + Monitors incidents in IRMA… more
- SMBC (White Plains, NY)
- …the team in the Issue Management Lifecyle. + Support the team in Risk Appetite and Risk Identification related processes **Role Objectives: Delivery** Ensure ... required **Role Objectives: Interpersonal** Develop relationships with units such as finance, compliance , legal and IT to improve workflows and data gathering /… more
- Grant Thornton (New York, NY)
- …former commissioned bank examiner with the FDIC, FRB, OCC, or CFPB preferred + Compliance risk management, audit, or risk management, background highly ... preferred + Knowledge of consumer protection principles, compliance management systems, compliance risk ...across the different stages of an internal audit including Risk Assessment , Scoping, Audit Work Program Development,… more