- 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
- TD Bank (New York, NY)
- …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
- 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
- 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
- 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 (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 (Amherst, NY)
- …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
- TD Bank (New York, NY)
- …execution of the annual Compliance Test Plan. + Work closely with the Head of Compliance Monitoring and Testing and the other Compliance Testing ... as manage a team of Compliance Testers as part of the wider Monitoring and Testing Team. The Director - Compliance Testing Team Lead oversees/leads a… 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
- KeyBank (Cleveland, OH)
- …ongoing compliance with applicable laws and regulations through the execution of compliance monitoring and testing across Key's lines of business, ... partners in designing and executing compliance testing , special projects, and ongoing monitoring . + Demonstrate subject matter expertise in compliance … more
- Citigroup (O'Fallon, MO)
- …Assistant Vice President (AVP) 2nd Line of Defense position serving as a Consumer Compliance Monitoring and Testing Officer within Citi's Independent ... deeply and drive meaningful results. **Responsibilities:** + Develop, implement, and execute compliance testing and monitoring activities in alignment with… more
- BMO Financial Group (New York, NY)
- …training needs and helps develop training based on gaps identified through the compliance monitoring and testing . + Identify enhancements to business ... Fixed Income compliance program. Coordinate and performs risk assessment, monitoring , testing and surveillance activities to ensure program remains current… more
- BMO Financial Group (Chicago, IL)
- …training needs and helps develop training based on gaps identified through the compliance monitoring and testing . + Identifies enhancements to business ... compliance program. Coordinates and performs risk assessment, monitoring , testing and surveillance activities to ensure...more effective compliance controls. + Effectively challenges monitoring and testing activities to ensure … more
- Vanguard (Charlotte, NC)
- …and elevate our client experience. Responsibilities + Conducts routine and targeted compliance monitoring and testing across financial services operations, ... are seeking a seasoned compliance professional to lead monitoring and testing for our broker-dealer's Cash program, which includes banking-like features such… more
- BMO Financial Group (Chicago, IL)
- …training needs and helps develop training based on gaps identified through the compliance monitoring and testing . + Identifies enhancements to business ... compliance program. Coordinates and performs risk assessment, monitoring , testing and surveillance activities to ensure... compliance controls. + Performs and/or effectively challenges monitoring and testing activities to ensure … more
- KeyBank (Charlotte, NC)
- …to various lines of business. Additionally, the Compliance Officer will conduct compliance monitoring and testing to ensure compliance risks ... evolves and grows. + Proven ability to work in a team environment. + Compliance monitoring and testing skills. + Sound decision-making skills; able to make… more
- American Express (Sunrise, FL)
- …Responsibilities:** + Support enterprise Anti-Corruption due diligence, payments monitoring , compliance monitoring and testing , and reporting processes. ... Investigations Unit (USIU) are part of the broader Global Risk & Compliance organization, operating within Global Financial Crimes Compliance (GFCC). Together,… more
- KeyBank (Atlanta, GA)
- …to consumer deposit accounts. Additionally, The Senior Compliance Officer will conduct compliance monitoring and testing to ensure compliance risks ... the development of new products and/or processes. + Conduct compliance monitoring to proactively identify process improvements...mitigating risk to Key. + Conduct gap analyses and testing to ensure compliance risks are mitigated… more
- Citigroup (Tampa, FL)
- …, and reporting activities. + Experience in planning, executing, and reporting on compliance testing or monitoring reviews and regulatory issue validation ... defense. The Compliance Independent Assessment Sr. Analyst performs risk-based testing and monitoring of Citi's compliance risks in order to assess the… more