-
Compliance Monitoring
Found in: One Red Cent US C2 - 1 day ago
Sumitomo Mitsui Banking Corporation (SMBC) New York, United StatesSMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance. The Group has more than 130 offices and 80,000 ...
-
Director of Compliance Monitoring
Found in: Lensa US 4 C2 - 3 days ago
BitGo, Inc. New York, United StatesBitGo - Director of Compliance Monitoring & TestingBitGo is the leader in digital asset financial services, providing institutional investors with liquidity, custody, and security solutions. Founded in 2013, BitGo pioneered the multi-signature wallet and is the first digital asse ...
-
Vice President Compliance Monitoring
Found in: Lensa US 4 C2 - 2 days ago
Coda SearchStaffing New York, United StatesJob Description · This Vice President Compliance Monitoring and Testing · The Monitoring and Testing Team sits in Core Compliance and covers the US businesses and certain global businesses, working with regional testing teams across the globe. · Compliance Monitoring and Test ...
-
Environmental Compliance Field Monitor
Found in: ZipRecruiter Test10S US C2 - 2 days ago
Canacre New York, United StatesJob Description · Job DescriptionThis position can be hybrid and is based in Arizona. · Join the Canacre team in an exciting role working on leading edge infrastructure projects. · We are technical experts in land, energy, and transportation development delivering accurate, inn ...
-
Compliance Monitoring and Adherence Business Accountability Specialist
Found in: Lensa US 4 C2 - 2 days ago
Wells Fargo New York, United StatesSupport Final Security Review and Compliance Monitoring and Adherence control operations. Lead complex initiatives with broad impact which are designed to mitigate current and emerging business risk issues and concerns; act as key participant in larg Monitoring, Compliance, Busin ...
-
Wellness Care Manager, Manhattan
Found in: SonicJobs Direct Apply US - 1 day ago
VNS Health New York, United States Full timeOverview · Provides care management for clients in collaboration with the Wellness case management team consistent with WeCARE and the VNS Home Care policy and requirements of the Wellness Care Management program. Facilitates the coordination of services between the varying provi ...
-
Project Finance
Found in: SonicJobs Direct Apply US - 1 day ago
Santander Holdings USA Inc New York, United States Full timeProject Finance (Renewables) Credit Risk 2nd Line of Defense (Corporate & Investment Banking)New York, United States of AmericaThe individual is responsible for risk analysis and independent oversight of credit quality of Project Finance Lending and Renewables Tax Equity portfoli ...
-
Director of HUD and Tax Credit Compliance
Found in: Zoho Direct Apply - 3 days ago
Omm IT Solutions East Orange, United StatesPlease Note: · Minimum of 5 years of experience in HUD compliance and tax credit compliance, with specific knowledge of Low-Income Tax Credit Housing (LITCH). · Must speak Spanish · Relocation Assistance: No relocation assistance will be provided (Need only locals). · Responsibi ...
-
Quality Manager/Director
Found in: Zoho Direct Apply - 1 day ago
MB&A Holland, United StatesSummary: · We are seeking a dedicated Quality Manager/Director to join a team for a leading contract manufacturer specializing in orthopedic and trauma implants in Holland, Michigan. If you are passionate about shaping and elevating quality standards in a dynamic environment, we ...
-
Net/Oracle Developer/ MS SQL Developer
Found in: Zoho Direct Apply - 1 day ago
Lynx Technology Partners New York, United StatesCompany Overview: · At Lynx Technology Partners, our mission is to enable organizations to demonstrate mature governance, risk, and compliance practices that integrate security considerations into the business decision-making process. We achieve this by securing your digital worl ...
-
IT Security Architecture and Engineering Consultant
Found in: Zoho Direct Apply - 1 day ago
Lynx Technology Partners New York, United StatesThis position is responsible for assisting in the development, implementation, and support of security architectures and solutions including security frameworks and roadmaps within the corporate business and Operational units across the Client's agencies. It also includes securin ...
-
Healthcare Assistant Project Manager
1 week ago
STV Verified Company New York City, United States Full time $30,000 - $80,000 per yearWe are seeking Healthcare Assistant Project Managers with a strong history of recent healthcare experience representing owner’s on capital programs, facility upgrades, renovations and additions for both new and occupied healthcare facilities. The successful candidate will assume ...
-
Accountant, Urgently Needed for Small Business
Found in: Orion Innovations US - 4 days ago
Cascade Enterprises Woodside, DE, United States FreelanceWe are an established relationship counseling agency in the German-speaking region (DACH) with a strong client base and nearly 20 employees (coaches, creatives, internal staff). We work with a large number of clients on a daily basis. In addition, we have a highly successful blog ...
-
The Middle Office Operations Officer for Equities in Hamburg is responsible for managing and overseeing the daily operations of the equities department
Found in: Orion Innovations US - 4 days ago
Stellar Enterprises Liberty, PA, United States Freelance**Description & Requirements** · For our Middle Office Investment Bank team in Hamburg, we are currently seeking a **Middle Office Operations Officer** to join us as soon as possible. · In a team of seven employees split between our Hamburg and London offices, we support a total ...
-
Occupational Therapist, Full-Time Home Care, Queens
Found in: SonicJobs Direct Apply US - 59 minutes ago
VNS Health Jamaica, United States Full timeOverview · Provides occupational therapy services to VNS Home Care patients through comprehensive assessment, development and implementation of a plan of care consistent with the Agency mission and the Rehabilitation policies and procedures. Works under general supervision. · Com ...
-
Family Advocate, Behavioral Health
Found in: SonicJobs Direct Apply US - 1 day ago
VNS Health Jamaica, United States Full timeOverview · VNS Health Family Advocates embody our core values of Empathy, Integrity, and Agility by helping children and their families access life changing resources whether it's basic needs of housing and public assistance or community resource programs that support social emot ...
-
Dispatcher (m/f/d) in Waste Management
Found in: Orion Innovations US - 4 days ago
Nexus Innovations Belleville, NY, United States FreelanceAbout us: · The Waste Management District of Neuwied AöR is a municipal company of the Neuwied district with a team of around 150 employees. · We are looking for you to join our team as soon as possible. · Dispatcher (m/f/d) in Waste Management · Full-time (39 hours/week) at our ...
-
Treasury Specialist
Found in: Orion Innovations US - 4 days ago
Skyline Solutions Fort Lee, NJ, United States FreelanceOur client is an attractive and future-oriented real estate company in Fort Lee, NJ that not only develops residential and commercial properties, but also entire city districts. Sustainability and social responsibility are always top priorities for the company. We are looking for ...
-
Wellness Care Manager
Found in: SonicJobs Direct Apply US - 1 day ago
VNS Health Staten Island, United States Full timeOverview · Provides care management for clients in collaboration with the Wellness case management team consistent with WeCARE and the VNS Home Care policy and requirements of the Wellness Care Management program. Facilitates the coordination of services between the varying provi ...
-
Family Advocate
Found in: SonicJobs Direct Apply US - 1 day ago
VNS Health Bronx, United States Full timeOverview · VNS Health Family Advocates embody our core values of Empathy, Integrity, and Agility by helping children and their families access life changing resources whether it's basic needs of housing and public assistance or community resource programs that support social emot ...
Vice President Compliance Monitoring - New York, United States - Coda Search│Staffing
Description
Job Description
This Vice President – Compliance Monitoring and Testing
The Monitoring and Testing Team sits in Core Compliance and covers the US businesses and certain global businesses, working with regional testing teams across the globe.
Compliance Monitoring and Testing
Execute the annual Compliance testing and monitoring plan
Determine scope of reviews
Prepare cohesive workpapers for each test in accordance with firm standards.
Build relationships with Key Stakeholders and communicate deficiencies of the test findings in advance of
report issuance.
Prepare reports for management that highlights the scope, testing approach and the overall results and
findings of the compliance testing review.
Execute Branch Inspections
Oversee remediation of gaps identified in the testing process
Support issues management development and tracking of Compliance-identified findings
Participate in special projects as they arise to enhance compliance functions
Preferred Qualifications
7 or more years of experience with a registered US broker dealer or regulator.