Compliance Manager Jobs in Wall Street, NY
Beta Search Inc
$180000 - $220000 YEAR
New York City, NY
As the regulatory landscape for financial services becomes increasingly complex, this role is critical in ensuring our global compliance, ethics, AML, sanctions, and fraud programs remain robust, transparent, and independently validated. Lead global audit coverage of Compliance and Financial Crimes programs (AML/BSA, OFAC, FCPA, ABC, conduct risk, regulatory compliance).
BNY
$68000 - $125000 undefined
New York, NY
In this role, you’ll make an impact in the following ways: Risk and Control Framework Management (1LOD) - develop, implement, and monitor the Non-Financial Risk (NFR) framework, aligning with regulatory requirements and internal policies. This position is at-will and the Company reserves the right to modify base salary (as well as any other discretionary payment or compensation) at any time, including for reasons related to individual performance, change in geographic location, Company or individual department/team performance, and market factors.
Fidelity Investments
$81000 - $137000 undefined
Jersey City, NJ
Please be advised that Fidelity’s business is governed by the provisions of the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, ERISA, numerous state laws governing securities, investment and retirement-related financial activities and the rules and regulations of numerous self-regulatory organizations, including FINRA, among others. These benefits include comprehensive health care coverage and emotional well-being support, market-leading retirement, generous paid time off and parental leave, charitable giving employee match program, and educational assistance including student loan repayment, tuition reimbursement, and learning resources to develop your career.
Flagstar Bank
New York, NY
Collaborate with stakeholders in Banking/Lending/Mortgage, Technology, Information Security, Marketing, HR, etc. to support data privacy and protection practices within their business functions. Support the intake, documentation, and follow-up of internal ethics concerns, including potential conflicts of interest, gifts and entertainment, and code of conduct violations.
Flagstar Bank
$165621 - $223588 YEAR
New York, NY
The Commercial Real Estate Business Risk & Internal Controls (“CRE-RIC”) Officer will help to design, build, transform and implement a risk management framework and lead the ongoing identification, assessment, and measurement of the business line’s material risks and key controls. Builds, leads, transforms, and consistently executes Risk & Control Self-Assessment, Issue Management, Internal Operational Risk Loss Events, External Risk Events, Control Identification, Control Design and Testing, and Quality Assurance / Quality Control programs.
Flagstar Bank
$73626 - $95714 YEAR
Bronx, NY
Oversight of daily customer & risk reports including new account reports, significant activity, significant change, large deposit, detailed transaction report, Oasis and month-end reports. Provides support group sales efforts with activities such pre-call planning, overseeing marketing materials as part of prospect outreach, client proposals, pitch books, overall managing prospect list.
Flagstar Bank
$64022.43 - $83229.16 YEAR
Staten Island, NY
In addition, this role has a large focus on coaching to sales, revenue growth, and operational integrity with a focus on successful sales and client experience behaviors while delivering high level of client service. A Branch Banking Leader coaches a high-performing branch team to meet and exceed performance targets by teaching, training, and modeling sales behaviors while ensuring operational excellence.
Flagstar Bank
$73626 - $95714 YEAR
Great Neck, NY
Oversight of daily customer & risk reports including new account reports, significant activity, significant change, large deposit, detailed transaction report, Oasis and month-end reports. Provides support group sales efforts with activities such pre-call planning, overseeing marketing materials as part of prospect outreach, client proposals, pitch books, overall managing prospect list.
Flagstar Bank
$64022.43 - $83229.16 YEAR
Elizabeth, NJ
In addition, this role has a large focus on coaching to sales, revenue growth, and operational integrity with a focus on successful sales and client experience behaviors while delivering high level of client service. A Branch Banking Leader coaches a high-performing branch team to meet and exceed performance targets by teaching, training, and modeling sales behaviors while ensuring operational excellence.
NJ Transit
Newark, NJ
Ensures that the Contractor follows “best practices” and contractual requirements in relations with Local, County, State and Federal Governmental entities; liaisons with NJ Transit Governmental Affairs, Corporate Communications, NJTPD, and other NJ Transit departments and divisions as required. We are committed to delivering safe, reliable service that gets our customers to their destinations on time—and we’re looking to hire talented folks with a love of learning to make it all possible.
United Nations Federal Credit Union
$80000 - $100000 YEAR
New York, NY
Perform all duties inherent to a managerial role and participate in strategic development; challenge and develop direct reports and staff to be more effective, efficient and satisfied with the work they perform for the Credit Union and its members; prepare and administer performance evaluations; and assist in the resolution of problem situations. Analyze daily, weekly and monthly origination/production reports in order to manage pipeline accordingly; monitor Mortgage Loan Officers’ activities, including call reports in order to maximize sales force effectiveness.
Brains Workgroup, Inc.
$110000 - $130000 YEAR
New York City, NY
In addition to the key control responsibilities of the IAM Certifications and Compliance Team, this strategic position requires specialization in automation and the continuous improvement of processes, utilizing scripting and automation technologies; in support of bank's internal controls, to meet regulatory requirements including SOX and FFIEC. Design and implement automated reporting solutions using scripting (PowerShell, Python, SQL, UiPath) to support access attestation, SoD analysis, and exception tracking.
Flagstar Bank
$64022.43 - $83229.16 YEAR
Staten Island, NY
In addition, this role has a large focus on coaching to sales, revenue growth, and operational integrity with a focus on successful sales and client experience behaviors while delivering high level of client service. A Branch Banking Leader coaches a high-performing branch team to meet and exceed performance targets by teaching, training, and modeling sales behaviors while ensuring operational excellence.
Brains Workgroup, Inc.
$80000 - $100000 YEAR
New York City, NY
Additionally, in this role, the individual will need to understand the various complex regulatory rules and will contribute analysis and translation of various Broker-Dealer regulatory requirements in collaborations with other stakeholders (e.g., legal, compliance, IT, etc.) to support the creation and maintenance of these reports. The Operations Regulatory Reporting Officer position will play a key role in the development of this newly created team to ensure the bank meets its obligations to deliver timely, complete, and accurate regulatory reports.
Innova
New York, NY
Minimum 3 years of experience in Big 4 or large regional accounting firms (banking or capital market clients), financial accounting, product control or regulatory reporting area, experiences in banking are required. FR Y-15, FR Y-9C, FFIEC 031, FFIEC 002, FFIEC 009, FFIEC 019, FR2644, and FR2900,), Department of Treasury reports (TIC Reports), and Department of Commerce reports (e.g.
Flagstar Bank
New York, NY
Responsible for: overseeing and managing multiple organizational audits; developing and maintaining positive relationships with auditees; coordinating with Flagstar Internal Audit leadership and staff; exercising professional auditor judgment; ensuring quality in compliance with regulatory and Institute of Internal Auditors professional guidance (the IPPF); maintains objectivity and independence in forming audit conclusions and reports. 10+ years of experience in one or more of the following audit areas dependent on assigned specialty - Financial Audits, Treasury Audits, Risk Management Audits, BSA Compliance, Corporate Services, Mortgage Lending, Retail Banking, or Commercial Lending.
Eisai
Nutley, NJ
The Executive Director will direct the development and submission of investigational drug applications, product registration dossiers, supplements, amendments, as well as providing strategic product direction to project teams on interacting and negotiating with regulatory agencies in order to expedite approval of pending registration and answers any questions. The Executive Director, Regulatory Affairs will provide leadership and direction for the global regulatory aspects of Eisai’s products under development and post approval research, including the development of regulatory strategies to ensure effective achievement of regulatory/business objectives.
BNY
$119000 - $221000 undefined
New York, NY
Project manage remediation efforts, including corrective actions resulting from audit findings, regulatory requests and examinations, operational risk events/errors, regulatory consent order implementation and other significant projects or tasks; manage and prioritize deliverables across multiple tasks and stakeholders. BNY Mellon can act as a single point of contact for clients looking to create, trade, hold, manage, service, distribute or restructure investments & safeguards nearly one-fifth of the world's financial assets.