- 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)
- …and together, you will help us define the future of American Express. The Regulatory Exam Lifecycle Management team ("RELM") in Global Risk and Compliance is the ... make an impact in this role?** + The RELM Manager is primarily responsible for supporting regulatory exams across...Seamlessly execute regulatory exams beginning with announcement of the exam through closure. + Support the execution of regulatory… 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)
- …knowledge + Identify efficiencies in current processes **Preferred skills:** + Regulatory exam management experience + Risk and Compliance experience + Project ... for this role. **Line of Business:** Risk Management **Job Description:** Internal Audit Regulatory Management is the central point of contact for regulatory matters… more
- American Express (New York, NY)
- …to learn new skills, develop as a leader, and grow your career. The Manager position is part of the Regulatory Exam Lifecycle Management (RELM) Team ... responses **Minimum Qualifications** + 4 years of experience in risk management, compliance , internal audit , or regulatory affairs, preferably within financial… 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
- Equitable (Woodbridge, NJ)
- Sr. Branch Compliance Manager ( 250000H7 ) **Primary Location** : UNITED STATES-NJ-Woodbridge **Organization** : Equitable **Schedule** : Full-time ... industry + FINRA Series 7 + FINRA Series 24 Exam , required to obtain within 90 days of employment...Compliance Function:** Knowledge of responsibilities and tasks of Audit and Compliance (A&C) function; ability to… 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
- TD Bank (New York, NY)
- …and Testing activities. This role is also accountable for Fair and Responsible Banking related exam and audit management as well as the remediation of any Fair ... including but not limited to: Advisory services, Monitoring and Testing activities, Exam and Audit management, Program Remediation and Board/Executive level… more
- TD Bank (New York, NY)
- …testing, monitoring, risk assessment, reporting and other activities** + **Internal Audit , regulatory exam , and ongoing supervision management, finding tracking, ... analyzing data to create trend reporting.** + **Knowledge and experience within compliance or audit , legal and regulatory environment, enterprise governance… more
- Deloitte (Morristown, NJ)
- …+ 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
- 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
