Are you a business? Hire bank compliance candidates in Corona, NY
The primary function of this position is to support the Compliance Monitoring and Testing Manager in the development, implementation, execution and reporting of the Bank's compliance testing, monitoring, and validation exercises in accordance with the Bank's Compliance Testing (CT) Plan. Metropol...
The VP/AVP Senior Compliance Auditor assists the Team Lead in the oversight, design and execution of audit coverage for Bank of Chinas US (BOC USA or the Bank) Compliance program with emphasis on the sanctions (mainly OFAC) program and consumer compliance. Experience as a bank examiner, auditor, ...
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...
The Associate Director of Warehouse Training and Compliance is responsible establishing a lean culture and related processes for the training, quality and compliance of all logistics and warehouse management functions to OSHA, AIB, DOT, and Feeding America standards. Be the lead in representi...
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...
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...
Central Compliance, Vice President- Corporate & Investment Banking. More specifically, this role will provide Compliance advisory and operational support for Licensing and Registration and Employee Compliance (including but not limited to Code of Conduct, Personal Account Dealing, Outside Busines...
Family and Medical Leave Act ; Employee Polygraph Protection Act and Pay Transparency Nondiscrimination Provision ....
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...
Your role as a Compliance Associate: * Conduct comprehensive research including reviews of media sources, public records databases, and open-source information * Analyze research results and identify potential areas of concern * Prepare concise written summaries of r...
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...
Business Analyst, Compliance Technology- IT. Conducts data analysis to define technology solutions to meet business requirements, validates data quality and defines and implements various data quality controls, troubleshoots data reconciliation issues, validates compliance and fraud detection mod...
Compliance Officer – Investment Bank Compliance – Fixed Income Sales & Trading – Rates. It is the Bank’s expectation that employees hired into this role will work in the New York, NY office in accordance with the Bank’s hybrid working model. With primary focus on the Rates business, you will advi...
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...
The Compliance Surveillance team works closely with the other teams within Compliance, Legal and Information technology. The review process will mainly focus on possible breaches of the law, the rules & regulations governing the securities and banking industries, as well as internal firm policy. ...
Wells Fargo is seeking a Senior Lead Compliance Officer to perform as the Senior Lead Business Line Compliance Officer for Public Finance Investment Banking within the Municipal Products Group in the Corporate and Investment Bank ("CIB"), including coverage of rules issued by the Municipal Securi...
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...
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...
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...
RSM's Regulatory Compliance group is currently seeking a strong regulatory compliance resource to join our fast-growing Risk Advisory Services practice at the Manager level. Manage and deliver assessments and other services covering regulatory compliance for banks, credit unions, broker dealers a...
Company Federal Reserve Bank of New York Working at the Federal Reserve Bank of New York positions you at the center of the financial world with a unique perspective on national and international markets and economies. What We Do: The Supervision Group of the Federal Reserve Bank o...
