- SMBC (Jersey City, NJ)
- …with relevant stakeholders, ensure internal procedures for the governance of issues management , ensuring that all relevant Compliance issues are tracked ... is meeting IAD expectations and timelines and provide consistent messaging to Compliance management . + Ad-hoc special projects as assigned by Compliance… more
- American Express (New York, NY)
- …digital & data capabilities and platforms. The objective of the EDDS Control Management Issues , Events & Remediation team is to ensure timely identification, ... remediation and lesson learning. EDDS is looking for a Director of Issues , Events & Remediation to...remediations to ensure transparency and accountability in the issue management process + Analyze trends in issues … more
- Citigroup (New York, NY)
- …liaison with regulatory examiners, Internal Audit, and external auditors on critical Compliance issues and overseeing the implementation of related remediation. ... Serves as a senior compliance risk manager for Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies, policies,… more
- Capital One (New York, NY)
- …299 Park Avenue (22957), United States of America, New York, New York Audit Director , Financial Crimes Compliance (Hybrid) Capital One's Audit function is a ... candidate will focus on all aspects of financial crimes compliance across the bank. A Director on... Compliance Manager (CRCM) + Experience with consumer compliance , privacy and conduct risk management +… more
- KPMG (New York, NY)
- …and regulatory publications, writing professional articles, and speaking about current compliance issues at external seminars Qualifications: + Minimum of ... **Business Title:** Director , Consumer Compliance **Requisition Number:** 118205...and state regulators, and implementation and/or operation of risk management practices to prevent, detect, and/or remediate non- compliance… more
- S&P Global (New York, NY)
- …Crimes Compliance areas including internal testing, tracking, and advising on compliance issues , and reporting of information to senior leaders + Experience ... **About the Role:** **Grade Level (for internal use):** 12 ** Director , Global Sanctions & Financial Crimes Compliance ...on the operation and progress of Global Financial Crimes Compliance risk management efforts. + Maintain a… more
- TD Bank (New York, NY)
- …provide you more specific details for this role **Job Description:** The Director Compliance TDS oversees/leads a team(s) of specialists/professionals providing ... functions that conduct testing for continuity and alignment + Apply consistent issues management framework for testing-identified issues + Facilitate… more
- TD Bank (New York, NY)
- …in an advisory capacity. The Director will primarily focus on the management of the firms compliance program supporting all corporate investment banking ... details for this role **Job Description:** **Preferred Qualifications:** We are looking for a Director , US Markets Compliance Advisory to join our team in NYC.… more
- Santander US (New York, NY)
- Senior Director , AML Compliance Model Validation Country: United States of America The Senior Director , Model Validation for Santander US Compliance ... leading the independent validation of models used by various Compliance groups in conformance with regulatory guidance on model...vendors and developing in depth perspective on model risk issues . Furthermore, the person is expected to lead the… more
- Citizens (Stamford, CT)
- …JMP Securities, Inc., Citizens institutional broker-dealer, is seeking a highly skilled Compliance Director to lead our advisory and trade surveillance efforts. ... Director of Institutional Equities, Options, and Fixed Income Compliance , you will be responsible for overseeing both advisory...closely with business and supervisory teams to resolve any issues that arise. You will drive the alignment of… more
- TD Bank (New York, NY)
- …+ Support the Firms build out and ongoing support of the Firms Regulatory Compliance Management Framework including Rules mapping, control mapping and ongoing ... the Firm. Such advice will be tailored to resolving issues with consideration to regulatory requirements, regulatory and firm...insights with colleagues globally; + JD a plus The Director Compliance TDS oversees/leads a team(s) of… more
- BMO Financial Group (New York, NY)
- …ensuring adequate management remediation plans and validation. Elevates high profile issues /risk cases to Compliance and business/group management for ... Capital Markets Compliance Team is seeking a Compliance Director with primary accountability for the...+ Analyzes and reports compliance information to Compliance and business/group management . + Advises first… more
- S&P Global (New York, NY)
- …Solutions encompass comprehensive services that span client reference data collection and management , client lifecycle management , regulatory compliance , and ... document management . + **Regulatory Solutions** : Improves compliance and standardizes processes using advanced assets and outreach services that facilitate the… more
- City of New York (New York, NY)
- …your drive and commitment to making a difference through technology. The Cyber Senior Director of Governance, Risk & Compliance (GRC) will be working closely ... guidance to help shape the cyber governance, risk and compliance program citywide. The Senior Director will...and practices to enhance processes related to third-party risk management , and agency compliance . The position requires… more
- City of New York (New York, NY)
- …efforts with the Agency divisions, other HR Units, and external partners on compliance issues , background checks and medical clearances. Keeping up to date ... The Bureau of Human Resources seeks to hire an Administrative Manager, NM/L-III (Senior Director , Office of Compliance Services). DUTIES WILL INCLUDE BUT NOT BE… more
- Citigroup (Jersey City, NJ)
- Serves as a senior compliance risk manager for Independent Compliance Risk Management (ICRM)'s Compliance Independent Assessment (CIA) Team responsible ... to assess the design and effectiveness of key controls designed to address compliance risk; reporting and escalating control issues and any violations of… more
- Regeneron Pharmaceuticals (Sleepy Hollow, NY)
- …and integrity & trust. + demonstrate a history of successfully resolving challenging Compliance issues ; + have the ability to effectively deliver sound and ... This Senior Director , Corporate Compliance role is a...team. This individual will conduct day-to-day risk assessment and management to help support the vision for Compliance… more
- Ankura (New York, NY)
- …internal controls, and systems processes; + Prepare compliance reports for Compliance Officer, Senior Management , and/or Board; + Assist clients with ... + Serve as lead contact for Client engagements including delegation of duties and project management ; + Serve as Subject matter Expert in the fields of AML / BSA /… more
- Citigroup (New York, NY)
- …liaison with regulatory examiners, Internal Audit, and external auditors on critical Compliance issues and oversees the implementation of related remediation. ... Technology, Finance, other Control Functions, and In-Business Risk to address compliance issues which may impact the assigned function/business/product. +… more
- Bowery Residents Committee (Manhattan, NY)
- Position Overview Reporting to the CFO, the Director of Audit Compliance performs various aspects of professional internal auditing work. Responsible for ... management instructions, policies and procedures, and regulatory authorities. The Director of Audit Compliance will manage internal and external financial,… more