- Hercules Capital (New York, NY)
- …performance analytics to senior management. Essential Responsibilities *Support Fund Senior Manager in preparation, review, oversight and management of 3rd party ... teams in tracking investment fundings, allocations, amendments, portfolio company compliance and commitment availability, and related investment funding & allocation… more
- TD Bank (New York, NY)
- …judgment regarding responsiveness and appropriateness.** **In this position, the** ** Compliance Audit and Exam Manager will manage ongoing supervision ... Compliance regulatory** **engagement** **strategy. The Compliance Audit & Exam Manager will prepare regular stakeholder communication, provide input… more
- TD Bank (New York, NY)
- …industry standards. TD Bank is seeking a Senior Manager to coordinate across Compliance Programs to proactively prepare for audit exams. The manager is ... to detail, and strong executive communication skills to interact with senior compliance stakeholders and audit partners. Key Responsibilities: + Draft an… more
- American Express (New York, NY)
- …US banking industry consumer and prudential compliance requirements, and support integrated audit teams with their compliance audit approach. This role ... City, or Phoenix and reports to the Vice President, Audit Leader of IAG's Global Compliance team....Public Accountant (CPA), Certified Internal Auditor (CIA), Certified Regulatory Compliance Manager (CRCM)) + Experience with data… more
- TD Bank (New York, NY)
- …supports management in delivery of initiatives related to risk assessment, internal/external exam support, etc. The FCRM Audit Oversight team oversees ... including KYC transaction monitoring and governance + Experience in Audit Coordination and Regulatory Exam preferred +...responding to periodic exams/audits by regulatory bodies and Internal Audit , to determine level of BSA/FCRM compliance … more
- American Express (New York, NY)
- …impact, and together, you will help us define the future of American Express. This Manager position is part of the Regulatory Exam Lifecycle Management (RELM or ... 'the Team') in Global Risk and Compliance ('GRC'), and reports to the Director of Regulatory...and risk management processes that underpin the company's regulatory exam framework. RRM focus areas include management of RELM's… more
- TD Bank (New York, NY)
- …through expert objective guidance and independent challenge.** **In this position, the Compliance Manager will manage the regulatory change management process, ... testing, monitoring, risk assessment, reporting and other activities** + **Internal Audit , regulatory exam , and ongoing supervision management, finding tracking,… more
- TD Bank (New York, NY)
- …**Job Description:** Our TD Securities Compliance team is seeking a VP Compliance Manager for the brand new Trade Surveillance Quality Assurance team to ... a plus. + 7+ years of experience in Surveillance Quality Assurance or Internal Audit (covering compliance surveillance, and/or risk and control functions) at a… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $150,000 - $185,000 USD TD is committed to providing fair ... you more specific details for this role. **Job Description:** The Global Compliance Surveillance Department is responsible for overseeing regulatory compliance … more
- NYS Housing Trust Fund Corporation (New York, NY)
- …programs (described on RHC's website (https://hcr.ny.gov/general-ida-programs) ). The Monitoring and Compliance Manager will report to RHC's Director of Policy ... is a public benefit corporation, and a Civil Service exam is not required for this position. Candidates must...adaptation and storm recovery initiatives. Job Summary: The Monitoring, Compliance and Policy Manager 's role comprises of… more
- City of New York (New York, NY)
- …evaluations. Only those applicants with permanent civil service status as a Construction Project Manager or who took Open Competitive Exam No. 3042 are eligible ... to support, monitor and ensure that BEDC is in compliance with Federal, State and local EHS laws and...with permanent civil service status as a Construction Project Manager or who took Open Competitive Exam … more
- Deloitte (Stamford, CT)
- …+ Assist multi-state companies with state unclaimed property matters including audit defense, voluntary compliance , annual reporting, developing policies and ... controversy. What you'll do As an Unclaimed Property Tax Manager within the Multistate Tax Services group, you will...Tax Services group, you will provide tax consulting and compliance services to a diverse client base in a… more
- Truist (New York, NY)
- …to successfully implement and document remediation. 7. Support the business for all audit and regulatory exam engagements. 8. Communicate with assigned business ... Wholesale Business Unit Risk Team with senior leadership, committee presentations, audit or regulators. **Essential Duties and Responsibilities** Following is a… more
- City National Bank (New York, NY)
- …regarding the ORM framework, policies and procedures. * Support and facilitate audit and regulatory exam activities * Build effective relationships, alliances, ... *OPERATIONAL RISK FRAUD OVERSIGHT MANAGER II* WHAT IS THE OPPORTUNITY? Operational Risk...years of experience in risk management, operational risk management, compliance , or audit * Minimum 5 years… more
- City National Bank (New York, NY)
- …and other regulatory affairs. * For Banking Compliance related roles, Certified Compliance Risk Manager (CRCM). * For Wealth Management Compliance roles, ... * COMPLIANCE ANALYST* *WHAT IS THE OPPORTUNITY?* The ...control standards, including timely implementation of internal and external audit points together with any issues raised by external...agencies, including exam management… more
- Wellington (New York, NY)
- …with those of our clients. **About the Role** The Senior Compliance Analyst will support Wellington Management's Global Private Investments Compliance ... assist with the strategic implementation of IT solutions to streamline the compliance framework around conflicts and non-public information. This position is open to… more
- JPMorgan Chase (Jersey City, NJ)
- …Support LE risk assessment needs and ongoing regulatory obligations. + Partner with Compliance to manage regulatory relationships and exam management. + Oversee ... work. + Experience in financial services with a background in controls, audit , quality assurance, operational risk management, or compliance . + Excellent… more
- TD Bank (New York, NY)
- …and Implementation of frameworks, standards, and processes to meet banks Audit & Compliance requirements. + Supports any regulator exam , audit , or other ... regulatory environment and related implications to identity management, security and audit compliance . **Customer Accountabilities:** + Understands and supports… more
- TD Bank (New York, NY)
- …Room and Compliance broadly to respond to regulatory inquires and internal audit requests, including, requests for data, and exam inquiries as they relate ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $150,000 - $185,000 USD TD is...Room. + **Issues Management:** Track and manage Regulatory and Audit Findings related to Global Control Room to ensure… more
- New York Power Authority (White Plains, NY)
- …Protection & Control Engineer Location: White Plains, US **Summary** The Protection & Compliance Engineer will play a dual role supporting regulatory compliance ... reliability standards by assisting in the development of procedures, documentation, and audit responses, as well as contributing to standards reviews and monitoring… more
