Vice President Compliance Monitoring
2 weeks ago
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.
-
Vice President Compliance Monitoring
1 month ago
New York, United States Coda Search│Staffing Full timeJob DescriptionThis 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...
-
Vice President Compliance Monitoring
1 month ago
New York, United States Coda Search│Staffing Full timeJob DescriptionThis 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...
-
Vice President Compliance
2 weeks ago
New York, United States Social Capital Resources Full timeTop-Tier Bank in Midtown, Manhattan is seeking a Vice President of Compliance to support their middle office banking team!Responsibilities:Support the implementation and execution of compliance initiatives, processes, and controls that manage compliance risks Maintain business line and support function policies and procedures addressing compliance...
-
Vice President Compliance
4 weeks ago
New York, United States Social Capital Resources Full timeTop-Tier Bank in Midtown, Manhattan is seeking a Vice President of Compliance to support their middle office banking team!Responsibilities:Support the implementation and execution of compliance initiatives, processes, and controls that manage compliance risks Maintain business line and support function policies and procedures addressing compliance...
-
Vice President Compliance
4 weeks ago
New York, United States Social Capital Resources Full timeTop-Tier Bank in Midtown, Manhattan is seeking a Vice President of Compliance to support their middle office banking team!Responsibilities:Support the implementation and execution of compliance initiatives, processes, and controls that manage compliance risks Maintain business line and support function policies and procedures addressing compliance...
-
Senior Vice President, Compliance
4 weeks ago
New York, United States The Bank of New York Mellon Corporation Full timeVice President, Manager, Compliance, Control, President, Senior, Management, Banking
-
New York, United States JPMorgan Chase & Co. Full timePerform analysis to identify major issues and actionable opportunities, design potential solutions and quantify bottom-line financial impact Develop management, stakeholder and regulator presentations in order to communicate issues, recommendations a Risk, Vice President, Lead, Compliance, Management, President, Banking
-
Vice President
1 month ago
New York, New York, United States Bank of America Full timeJob Description:At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. Responsible Growth is how we run our company and how we deliver for our clients, teammates, communities and shareholders every day.One of the keys to driving Responsible Growth is being a great place to work for our...
-
Assistant Vice President Commercial
6 days ago
New York, United States Metropolitan Transportation Authority Full timePosition at MTA Construction & Development This position is eligible for telework, which is currently one day per week. New hires are eligible to apply 30 days after their effective date of hire. JOB TITLE: Assistant Vice President Commercial (Interborough Express) AGENCY: Construction & Development DEPT/DIV: Delivery/Interborough Express REPORTS...
-
Vice President of Heath Services
2 weeks ago
New York, United States Good Shepherd Services Full timeSupervise agency Directors of Nursing directly. Oversee Article 29-l application and implementation, collaborating on Electronic Health Record development. Maintain Article 29-I facilities in compliance with State requirements. Ensure compliance with Vice President, Youth Development, President, Health, Service, Management
-
Compliance Officer
3 weeks ago
New York, United States Deutsche Bank Full timeCompliance Officer - Investment Bank Compliance - Origination & Advisory - Capital Markets - Vice President Job ID:R0327387 Full/Part-Time: Full-time Regular/Temporary: Regular Listed: 2024-04-26 Location: New York
-
Assistant Vice President
1 week ago
New York, United States The New York Foundling Full timeOverview: At The New York Foundling, we trust in the power and potential of people, and we deliberately invest in proven practices. From bold beginnings in 1869, our New York-based nonprofit has supported hundreds of thousands of our neighbors on their own paths to stability, strength, and independence. We help children and families navigate through and...
-
Compliance Officer
2 weeks ago
New York, United States Deutsche Bank Full timeCompliance Officer - Investment Bank Compliance - Fixed Income Sales & Trading - Rates - Vice President Job ID:R0331339 Full/Part-Time: Full-time Regular/Temporary: Regular Listed: 2024-05-10 Location: New York
-
Vice President, Quality
1 month ago
New York, United States IAVI Full time**Position Description** **Job Title**:Vice President, Quality **Location**: New York, NY preferred; Remote-US; Cape Town, South Africa; South Africa Remote; Nairobi, Kenya; Amsterdam, Netherlands; OR United Kingdom Remote **Reports to**: President & Chief Executive Officer **Position Summary**: Are you an experienced Quality Leader, eager to lead the...
-
Vice President of Engineering
3 weeks ago
New York, United States GreenBridge Energy Full timeGreenBridge Energy are partnered with an extremely influential utility scale battery energy storage business, currently in hyper-growth phase! Title: Vice President of Engineering Our customer is a pioneering leader in the development of cutting-edge battery technologies. Their commitment to innovation and safety has positioned them at the forefront of the...
-
Vice President, Controller
1 week ago
New York, United States United Way of New York City Full timeJob DescriptionJob DescriptionOrganization Summary:United Way of New York City (UWNYC) is a nonprofit mobilizing people and organizations to eradicate barriers and create opportunities that improve the lives of low-income New Yorkers. Part of the United Way Worldwide system, one of the world's most recognized charitable brands, we envision caring...
-
Vice President, Controller
3 weeks ago
New York, United States United Way of New York City Full timeJob DescriptionJob DescriptionOrganization Summary:United Way of New York City (UWNYC) is a nonprofit mobilizing people and organizations to eradicate barriers and create opportunities that improve the lives of low-income New Yorkers. Part of the United Way Worldwide system, one of the world's most recognized charitable brands, we envision caring...
-
Vice President of Engineering
1 month ago
New York, United States GreenBridge Energy Full timeGreenBridge Energy are partnered with an extremely influential utility scale battery energy storage business, currently in hyper-growth phase! Title: Vice President of EngineeringOur customer is a pioneering leader in the development of cutting-edge battery technologies. Their commitment to innovation and safety has positioned them at the forefront of the...
-
Vice President, Customer Success
5 days ago
New York, United States MasterCard Full timeVice President, Customer Success. Session. M, a Mastercard Company, is a customer engagement platform empowering global brands to forge stronger and more profitable customer relationships. We partner with brands to drive marketing transformation thro Vice President, Customer Engagement, President, Project Management, Customer
-
Vice President, Compensation
3 weeks ago
New York, United States BlackRock, Inc. Full timeBecome a trusted partner and provide consultation and analytical support for the implementation and administration of global compensation programs, working with compensation colleagues and partners across HR - Navigate through a variety of complex pr Compensation, Vice President, President, Management, Skills