Compliance Testing Jobs in New York
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Search Results - Compliance Testing Jobs in New York
Phaxis LLC-New York
and inquiries in a timely manner.
Conduct compliance testing and reviews, providing detailed reports and actionable insights.
Ensure business areas adhere to and maintain compliance with regulatory requirements.
Assist in the preparation of compliance reports...
resume-library.com -
Coda Search│Staffing-New York
compliance testing and training efforts, and monitor regulatory changes to ensure the firm operates within the bounds of applicable laws and best practices. This role will report directly into the Head of Compliance.
Key Responsibilities
• Design, implement...
mindmatch.ai -
New York
Ensures all activities conducted are following governing regulations, internal policies and procedures.
The primary responsibility of this position is to support compliance testing for Scotiabank's U.S. operations. The U.S. Compliance Testing Program...
tiptopjob.com -
Cardea Group-New York
to RFPs, DDQs and other communications
• Drive compliance initiatives across various areas of the program depending on regulatory trends
• Conduct compliance testing and update policies/procedures
• Create risk matrices to outline compliance initiatives...
mindmatch.ai -
Expert In Recruitment Solutions-New York
and other issues that may arise in running the Swap Dealer Compliance Program
Assist Compliance Testing in developing monitoring and testing to review and challenge controls and implementation of obligations with Compliance and business teams, and work...
resume-library.com -
Green Key Resources-New York
and monitoring and testing the program.
Responsibilities:
• Oversee, manage, and prioritize the compliance review of registered fund marketing materials, client communications, and other materials for SEC and FINRA compliance.
• Establish and implement...
mindmatch.ai -
Robert Half-New York
and data remains accurate.
• Performing compliance testing and work with internal teams to resolve issues.
For immediate consideration please send you resume to Alex.Muzaurieta@roberthalf.
• Bachelor’s degree in Finance or related field...
roberthalf.com -
Larson Maddox-New York
compliance testing and monitoring of marketing materials and other registered fund compliance initiatives.
• Work with different business units on new marketing initiatives, offering compliance guidance. Update and maintain policies and procedures in response...
mindmatch.ai -
New York
including for Form N:PX proxy monitoring.
• Assistin identifying efficiencies and areas for improvement within the existing compliance program, testing of processes and controls and developing, maintaining and implementing changes to the firm's compliance...
tiptopjob.com -
Kashable-New York
with the operations team and internal legal counsel relating to bankruptcy matters.
• Respond to credit bureau disputes.
• Assist in compliance testing and monitoring of regulations as needed.
• Monitor SCRA requests and draft responses to consumers.
• Respond...
mindmatch.ai -
Grant Thornton (US)-New York
relating to consumer financial products
• Practical work experience involving compliance testing/monitoring, compliance audits, compliance training, control testing, and data analytics at banks and financial institutions of various types and sizes...
mindmatch.ai -
Grant Thornton (US)-New York
experience involving compliance testing/monitoring, compliance audits, compliance training, controls testing and data analytics at banks and financial institutions of various types and sizes
• Familiarity with CFPB, FDIC, FRB, OCC, and NCUA compliance...
mindmatch.ai -
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