Compliance Monitoring Jobs in White Plains, NY

Cloudbreak Compliance Group, LLC - White Plains, NY, United States

, reports, memoranda and other client deliverables Supporting and participating in client engagements including annual compliance program reviews and mock examinations Tracking and monitoring ongoing client

from: linkedin.com - 7 days ago

Madison-Davis, LLC - White Plains, NY, United States

). Responsibilities: • Responsible for administering, maintaining, coordinating and monitoring the Bank’s day-to-day compliance with BSA/AML/OFAC/CDD/EDD/KYC/FinCEN/USA Patriot Act, etc. • Responsible for managing

from: linkedin.com - 24 days ago

Synchrony Financial - Stamford, Connecticut

Audit Team through active engagement in risk assessment, audit planning, and continuous monitoring processes. Lead and perform audits of Credit activities including evaluating underwriting, line

from: resume-library.com - Yesterday

Coda Search│Staffing - New York, NY, United States

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

from: linkedin.com - 7 days ago

ASCENDO - , NY, United States

and other materials for review by the funds’ board Assist with review of deals for compliance with 40 Act restrictions Track deal flow for the funds Assist with the 40 Act compliance monitoring and testing

from: linkedin.com - 6 days ago

Goldman Sachs - New York, United States

work ethic Preferred Qualifications: Prior Audit, Monitoring, or Testing experience Financial Industry knowledge (Global Markets, Wealth Management, in particular) Financial Crime Compliance experience Competitive

from: efinancialcareers.com - 15 days ago

Global Investment Bank and Broker Dealer - , NY, United States

responsibilities include: Developing ongoing policies & procedures & monitoring the Compliance program in accordance with FINRA regulations. Reviewing personal trading activities for all employees in the region

from: linkedin.com - 5 days ago

BBVA - New York, NY, United States

by the regulators and internal policy. Primary Duties and Responsibilities: ● Responsible for the live monitoring of payments and messages via the banks OFAC filtering system to ensure all transactions

from: linkedin.com - 7 days ago

Compliance Recruitment Solutions - New York, United States

quarterly monitoring reviews and reports Setting up the compliance infrastructure for clients, including policies and procedures and monitoring programs Registering firms with the SEC and CFTC/NFA Drafting $200 - $220

from: efinancialcareers.com - 2 days ago

Global Commodities Trading Company - New York, NY, United States

compliance with applicable rules and regulations and requirements. Job Responsibilities: 1. Assist in monitoring trading activities in the office 2. Analysis on rules/regulations and updating policies

from: linkedin.com - 7 days ago