- TD Bank (New York, NY)
- …**Job Description:** This Compliance Officer is a key member of the TDS US Compliance Monitoring and Testing Team and Core Compliance Group. The ... also support other aspects of the Core Compliance program as needed. Compliance Monitoring and Testing + Develop and design annual and cycle-based … more
- SMBC (Jersey City, NJ)
- …SMBC's Compliance Department Americas Division ("CPAD") is seeking an Analyst for Compliance Monitoring and Testing . The Analyst is responsible for ... for New York Branch. + Serves as a tester for all facets of compliance monitoring and testing engagements. + Assists in the development and refinement of… more
- TD Bank (Portland, ME)
- …standards. management areas, broader organization, and enterprise as appropriate. **U.S. Compliance Monitoring and Testing provides governance, oversight, ... and support for central elements of the US Compliance Monitoring and Testing Program, including:** + Lead strategic planning efforts and support US … more
- TD Bank (New York, NY)
- …Qualifications:** This Senior Compliance Officer is a key member of the TDS US Compliance Monitoring and Testing Team and Core Compliance Group. The ... aspects of the Core Compliance program as needed. **Depth & Scope:** Compliance Monitoring and Testing + Assist with developing and executing the annual … more
- SMBC (Jersey City, NJ)
- …SMBC's Compliance Department Americas Division ("CPAD") is seeking a Compliance Monitoring and Testing Associate. The Associate-level position ... testing engagements is essential. **Role Objectives** + Supporting examiner-in-charge of Compliance Monitoring and Testing engagements. + Assists in the… more
- SMBC (Jersey City, NJ)
- …portfolio of benefits to its employees. **Role Description** Reporting to the Head of Compliance Monitoring & Testing ("M&T") in the Compliance ... set and innovation mindset with awareness of industry best practices for Compliance Monitoring & Testing programs. + Understanding of Japanese culture and… more
- TD Bank (New York, NY)
- …**Job Description:** This VP, Compliance is a key member of the TDS US Compliance Monitoring & Testing (M&T) Team, responsible for working on the ... + Assist with the development, implementation and coordination of the Compliance Monitoring program, including evaluating program design elements, analyzing… more
- FirstBank PR (San Juan, PR)
- … risks across all regions and affiliates. This role involves supervising compliance monitoring , testing , reporting, and risk assessment activities ... Supervise Compliance Officers and Specialists within the Compliance Testing Unit, providing coaching, mentoring, and...and finally closed or resolved. + . Assist the compliance managers in preparing the assessment and/or monitoring… more
- KeyBank (Brooklyn, OH)
- …and processes in mitigating applicable risks through the execution of operational and compliance monitoring and testing across Key's lines of business, ... and compliance partners in designing and executing testing , special projects, and ongoing monitoring . +...analysis tools and techniques to lead a team of compliance testing professionals in analyzing, quantifying, and/or… more
- KeyBank (Amherst, NY)
- …ongoing compliance with applicable laws and regulations through the execution of compliance monitoring and testing across Key's Wealth Management and ... partners in designing and executing compliance testing , special projects, and ongoing monitoring . + Demonstrate subject matter expertise in compliance … more
- KeyBank (Brooklyn, OH)
- …ongoing compliance with applicable laws and regulations through the execution of compliance monitoring and testing across Key's lines of business, ... role assist in the design and execution of wealth management testing and continuous monitoring to evaluate Key's compliance with regulatory requirements and… more
- KeyBank (Brooklyn, OH)
- …ongoing compliance with applicable laws and regulations through the execution of compliance monitoring and testing across Key's lines of business, ... (KYC, CIP, CDD, EDD) OFAC and Fraud testing and continuous monitoring to evaluate Key's compliance with regulatory requirements. Individuals work both… more
- MUFG (Irving, TX)
- …their extra-territorial application. Experience with markets compliance , markets surveillance, compliance monitoring , auditing or testing reviews and/or ... of our recruitment team will provide more details. **Job Summary:** Americas Compliance Testing (ACT) is an integral part of the MUFG Regulatory Compliance… more
- Truist (Greenville, NC)
- …America) **Please review the following job description:** Perform risk management and compliance monitoring and testing for assigned business unit/corporate ... compliance monitoring . Prepare detailed reporting on monitoring and testing results with attention to...assigned business unit(s). 6. Recommend process improvements based on compliance monitoring and/or testing results.… more
- Robert Half Management Resources (New York, NY)
- …risk assessments and regulatory compliance management. * Proficiency in handling compliance monitoring and control testing processes. * Familiarity with ... a dynamic and evolving organization. Ideal candidate will have 3+ years of compliance testing experience as a primary skill set, along with other compliance … more
- TD Bank (New York, NY)
- …This Senior Compliance Officer is a key member of the TDS US Compliance Monitoring & Testing (M&T) Team, responsible for working on developing, ... and coordinate with our Risk Owners to assist and show coverage alongside the Compliance testing and monitoring plan coverage of key risks and business units… more
- TD Bank (Mount Laurel, NJ)
- … Risk Assessment, regulatory controls management, Compliance Issue Management, Compliance Monitoring & Testing , Program Effectiveness Assessments, ... can provide you more specific details for this role. **Line of Business:** Compliance **Job Description:** **Department Overview:** **Why Work with Us?** At TD Bank… more
- Vanguard (Charlotte, NC)
- … compliance processes and program activities to support a robust Enterprise Compliance monitoring and testing program specific to Information Technology, ... build a compliance oversight program focused on implementation of monitoring and testing for IT, AI and Cybersecurity? Vanguard's Compliance Oversight is… more
- BMO Financial Group (New York, NY)
- …Ascertain training needs and help develop training based on gaps identified through the compliance monitoring and testing . + Assist business group management ... Fixed Income compliance program. Coordinate and performs risk assessment, monitoring , testing and surveillance activities to ensure program remains current… more
- BMO Financial Group (Milwaukee, WI)
- …training needs and helps develop training based on gaps identified through the compliance monitoring and testing . + Identifies enhancements to business ... of a specific compliance program. Coordinates and performs risk assessment, monitoring , testing and surveillance activities to ensure program remains current… more