Compliance Testing Jobs in New York State
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Search Results - Compliance Testing Jobs in New York State
Goldman Sachs-New York
and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm’s responses to regulatory examinations, audits...
Confidential-New York
Compliance Independent Testing – Examiner (Vice President)
NEED:
Audit or compliance testing and capital markets regulations BG. Not testing systems or IT
Regulatory experience FINRA CFTC swap dealer
8. 12 but willing to be lower in years
CIB...
mindmatch.ai -
Blufox Mobile-Plainview (NY)
with 401(k) vendors/TPA and manage compliance testing, preparation, and timely filing of Form 5500.
Own all activities associated with the administration of the company's Employee Stock Ownership Plan (ESOP) and manage compliance testing and preparation...
resume-library.com -
Social Capital Resources-New York
Top-Tier Bank in Midtown, Manhattan is seeing a Compliance Monitoring & Testing Specialist for a full-time position!
Responsibilities:
• Conduct ongoing monitoring and testing to ensure the effective execution and sustainability of banks adherence...
mindmatch.ai -
Expert In Recruitment Solutions-New York
Perform SOX (Sarbanes-Oxley) compliance testing, ensuring proper internal controls over financial reporting.
Conduct internal control testing to assess effectiveness and identify any deficiencies or areas for improvement.
Work closely with audit...
resume-library.com -
Cardea Group-New York
an incredible team of driven and friendly cohorts, the new hire will support key compliance projects and initiatives, focusing on areas such as training, testing, and the design, implementation, and advisement of policies and procedures.
Key Points:
• Well...
mindmatch.ai -
First Citizens Bank-New York
and regulatory obligations. Will support Commercial Finance execution teams with the implementation and ongoing execution of risk and control activities, to include Risk and Control Self-Assessment (RCSA); issue & audit management,; control & compliance testing...
Phaxis LLC-New York
Responsibilities include, but are not limited to:
Assist with the design and execution of regulatory compliance testing for Capital Markets business; test compliance with policies and standards and identify key risk control gaps and deficiencies...
resume-library.com -
First Citizens Bank-New York
and regulatory obligations. Will support Commercial Finance execution teams with the implementation and ongoing execution of risk and control activities, to include Risk and Control Self-Assessment (RCSA); issue & audit management; control & compliance testing...
Atlantic Group-New York
advisor compliance for credit strategies, including BDCs.
Position Overview:
• Perform compliance testing and quarterly reviews for credit platform, including BDC-focused activities
• Collaborate on regulatory filings and assist in preparing materials...
mindmatch.ai -
Michael Page-New York
About Our Client
One of the top 10 largest financial services firms in the world.
Job Description
• The Monitoring and Testing Team sits in Core Compliance and covers the the firm's and certain global businesses, working with regional testing...
michaelpage.com -
Cardea Group-New York
such as wall crosses, trade requests, conflict checks, ad other time sensitive items.
• Support the internal compliance testing and surveillance program, as well as prepare regulatory reports and testing documentation.
• Acquire a comprehensive understanding...
mindmatch.ai -
BAMM-New York
containers, and infrastructure as code.
Implement automation to perform security compliance testing into the development lifecycle.
Develop and Report Key Risk Indicators (KRIs) within the SSDLC processes working closely with Americas Division's Security...
resume-library.com -
Goldman Sachs-New York
monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads...
Ocorian-New York
regulatory reporting for clients;
Developing and undertaking forensic testing and verification of internal controls for clients;
Carrying out compliance testing and periodic monitoring
Responding to ad-hoc and routine regulatory queries
Actively partner...
resume-library.com -
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