Senior Compliance Associate Monitoring Examination jobs in New York, NY

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Regulatory Coordinator - Member Regulation, ROOR- New York,...
Finra 25 reviews - New York, NY
Review, analyze, and communicate examination findings to member firms' senior management. Prepare risk-based examination planning packages of assigned member...
Sponsored by Finra - 8 days ago

Senior Supervisory Associate– Financial Market Infrastructur...

Federal Reserve Bank of New York 246 reviews - New York, NY
The Supervisory Associate will be responsible for monitoring and assessing the Internal Audit, Compliance, and Finance functions the institution, including:....

Regulatory Coordinator - Member Regulation, ROOR- New York,...

Finra 25 reviews - New York, NY
Review, analyze, and communicate examination findings to member firms' senior management. Prepare risk-based examination planning packages of assigned member...

Surveillance Director, Member Regulation, ROOR - New York, N...

Finra 25 reviews - New York, NY
Identify risks and areas of regulatory concern for the examination staff prior to each examination. Prior surveillance and/or examination experience....

Operational Risk-Risk and Control Associate

Morgan Stanley 798 reviews - New York, NY
Support the operational risk incident capture, monitoring, and reporting framework. Support coordination of coverage for Internal Audit, Regulatory Exams, and...

Chief Privacy Officer

HSBC 2,456 reviews - New York, NY
To implement the Group compliance policy locally by containing compliance risk in liaison with the Global Head of Compliance, Global Compliance Officer, Area...

Compliance Director

Prudential 659 reviews - Newark, NJ
Oversight and monitoring of all PII compliance reporting. Lead, supervise and develop two Newark based Compliance associates....

Supervisory Analyst/Associate - Complex Financial Institutio...

Federal Reserve Bank of New York 246 reviews - New York, NY
Xam Support – provide support on team examinations, and where needed, be prepared to lead an examination. Develop an exam schedule and lead examinations in the...

AVP Compliance Engagement Manager New York or Fairfield NJ

Capital One 1,783 reviews - New York, NY
Seeking an experienced Commercial Banking Operational Risk Manager who will leverage relationship management capabilities, problem solving and analytical skills...

Regulatory Relations VP

Dynamics Associates - New York, NY
Regulatory Liaison for the firm's Domestic Regulated Subsidiaries’ Examinations:. Perform staff pre-meeting interviews, as necessary, for inspections,...

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Company with Senior Compliance Associate Monitoring Examination jobs
25 reviews
FINRA is the largest independent regulator of securities firms doing business with the public in the United States.