Are you a business? Hire bank compliance candidates in Astoria, NY
Company Policies, Compliance Assessments, Corporate Ethics, Executive Leadership, Group Problem Solving, Regulatory Compliance, Relationship Management, Risk Assessments, Risk Compliance, Strategic Advisory. Equity Derivatives Compliance Officer is responsible for: 1) administering CIBC's policie...
Reporting to the Director, Head of Regulatory Operations & Swap Dealer Compliance, Candidate must have experience in performing in-depth regulatory analysis regarding the requirements under Title VII of the Dodd-Frank Act, as well as in developing and implementing compliance programs in environme...
As a Senior Associate in RSM's growing Regulatory Compliance Practice, focused specifically on serving Consumer Compliance at Global Banking enterprises, you will have the opportunity to draw from your experience and knowledge to continue to grow your leadership skills through a high degree of cl...
Provide Compliance (second line) oversight, review and challenge over first line testing activities to ensure that first line testing effectively meets standards for coverage of compliance risks. The Director Compliance TDS oversees/leads a team(s) of specialists/professionals providing advice, g...
The TD Bank Fair Banking team is seeking a skilled professional to facilitate completion of regularly scheduled monitoring activities for consumer and small business lending portfolios designed to detect potential non-compliance with Federal Fair Lending Laws and UDAAP issues. The Compliance Busi...
Conduct annual and periodic compliance monitoring risk reviews for the Bank's Fintech partnerships, as a part of the Bank's Banking as a service (BaaS) program. Piermont Bank is a tech-enabled digital commercial bank founded in 2019 with a mission of changing the face and pace of banking. Joining...
Advise the business on compliance issues relevant to new and existing defined contribution and managed account products and services * Support Wealth Management's Portfolio Analysis Group (PAG), which calculates performance and generates related analytics for discretionary and brokerage...
Risk and Compliance provide risk and compliance services across all BNY Mellon businesses including the following groups: Risk Management, Compliance, Global Corporate Security, Information Risk Management and Global Business Continuity. In EMEA, Compliance is split into four pillars; Business Co...
The individual will be joining the Compliance Surveillance team. Provide report review status updates and activities to senior compliance officers and other key stakeholders. Knowledge of best practices, and surveillance procedures of securities industry compliance reviews. ...
Family and Medical Leave Act ; Employee Polygraph Protection Act and Pay Transparency Nondiscrimination Provision ....
Engages in activities to provide independent compliance and operational risk oversight of FLU or Control Function (CF) performance and any related third party/vendor relationships in alignment with the Global Compliance - Enterprise Policy, the Operational Risk Management - Enterprise Policy (col...
As an independent control function and part of the firm’s second line of defense, Compliance assesses the firm’s compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and trainin...
Responsible for the development and implementation of the Bank's COI operating model, policies, and procedures. Provides management of the Bank's COI Training program. Develop, implement, and manage the Bank's COIpliance training program. Identify COI related industry changes and enable the Bank ...
Job Responsibilities * Identify potential concerns and control issues, determine the root cause of issues and ensure stakeholders develop and implement appropriate corrective actions * Execute on key strategic Compliance initiatives within the context of the firm's global comp...
Compliance fulfills its mission by consistently instilling a Culture of Compliance across the bank and by assessing Compliance Risk and developing and implementing compliance controls and programs such as:. Americas Compliance, as a control function within the firm’s second line of defense as wel...
This the VP Advisory Compliance Officer role supports the CPAD Bank Advisory team in building and maintaining a bank regulatory compliance program to help ensure compliance with applicable state and federal banking rules applicable to SMBC branches, representative offices, and other entities of S...
Our history spans over 200 years and today we are a leader in investment banking, consumer and small business banking, commercial banking, financial transaction processing and asset management. As a Regulatory Management Lead- Vice President in the Asset & Wealth Management ("AWM") Regulatory Man...
The Compliance Systems include the AML/BSA system, Transaction Monitoring system, OFAC/Sanctions system, and other databases/tools/platforms used in Compliance system team as well. Join the Mizuho team as a Compliance Systems Engineer!. Minimum of 5 years of relevant experience, preferably in the...
The Head of US Compliance Quality Assurance lead will provide thought leadership into the strategic vision for our approach to perform quality assurance testing and monitoring throughout the second-line of defense compliance risk management program, including the appropriate organization structur...
Known as the “bank of banks” - % of the world’s top banks work with us as we lead and serve our customers into the new era of digital. We’re seeking a future team member for the role of VP, ETF ADVISOR COMPLIANCE to join our Investment Management Compliance team. Conducts fund and adviser-related...
The Global Control Room (GCR) has a business-critical role to mitigate legal, compliance and reputational risk within the firm and is responsible for managing the flow of Material Non-Public Information between different areas within Global Banking, Global Markets & International business lines. ...
Knowledge and experience within bank compliance or bank audit, legal and regulatory environment, enterprise governance framework, products and services, policies, standards, systems, reporting and training requirements. The Compliance Governance & Operations Manager leads the development and impl...
Compliance Officer – Investment Bank Compliance – Origination & Advisory – Capital Markets. Experience in providing legal, regulatory or compliance advice in connection with investment banking advisory engagements and transactions is essential. It is the Bank’s expectation that employees hired in...
