- 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)
- …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 is seeking a Vice President of the Compliance Monitoring and Testing team to perform testing of ... M&T Program + Serves as the examiner-in-charge responsible for all facets of compliance monitoring and testing engagements + Assists in the development and… more
- TD Bank (New York, NY)
- …will manage ongoing Compliance risk coverage planning that will support the Compliance Monitoring & Testing (M&T) program. Additionally, this role will ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $140,000 - $185,000 USD TD is...+ Support the development and maintenance of the Firm's Monitoring and Testing Coverage Plan, which includes… 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
- Discover (Riverwoods, IL)
- …The Principal Compliance Specialist will be responsible for executing risk-based compliance monitoring and testing for the purpose of independently ... The position requires experience in the design and execution of compliance monitoring and testing , including test script development, issues management,… more
- TD Bank (New York, NY)
- …and assists in implementing compliance initiatives to help manage regulatory risk. Compliance Monitoring and Testing + Assist with developing and ... relationships with key stakeholders globally + Assist in identifying areas for enhanced Monitoring , Testing or training Core Compliance + Develop Testing … 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
- Citigroup (Tampa, FL)
- …Quarterly Summaries and the development and enhancement of the Compliance Monitoring Methodologies and Standards for testing , monitoring , and reporting. ... and typologies. + Experience in planning, executing, and reporting on compliance testing and monitoring reviews, and regulatory issue validation activities… more
- Byline Bank (Chicago, IL)
- …and Responsibilities:** + Manages a team that plans, scopes and designs risk-based compliance testing and monitoring reviews that adequately address coverage ... completion and escalates past-due items. + Maintains and updates all relevant compliance testing and monitoring procedures and scripts, and provides training… more
- BMO Financial Group (Chicago, IL)
- …to identify more effective compliance controls. + Assesses and effectively challenges monitoring and testing activities to ensure compliance controls are ... Compliance and business group management for prompt resolution. + Supports compliance program monitoring , testing , reporting initiatives and provides… more
- Amalgamated Bank (New York, NY)
- …with new and existing consumer and small-business products and services. 13. Conducts compliance monitoring / testing reviews and risk assessments of key ... Amalgamated Bank is seeking a Testing Compliance Officer to assist the...Tracks and monitors the remediation of problems identified in compliance monitoring reviews and regulatory examinations. 15.… more
- Grant Thornton (New York, NY)
- …financial institutions of various types and sizes + Practical work experience involving compliance testing / monitoring , compliance audits, compliance ... testing activities for Consent Order Validation, Issue Management, and independent monitoring engagements, responsible for execution of testing to validate… more
- Terumo Medical Corporation (Somerset, NJ)
- …Terumo Americas Holding and its managed businesses to develop and implement an effective compliance monitoring and testing program in accordance with best ... to compliance , including the development and implementation of a monitoring and testing program, managing compliance with all Federal and State… more
- Truist (Charlotte, NC)
- …of control testing activities (including control design and effectiveness testing ), compliance monitoring indicator (CMI) activities, and Issue ... testing . 6. Perform assessment activities. 7. Perform compliance monitoring indicator (CMI) activities. **Qualifications** **Required Qualifications:**… more
- KeyBank (Cleveland, OH)
- …and a strong focus on risks and controls. + Knowledge of internal controls, compliance testing and monitoring processes (including analytics), and applicable ... Risk Management ["CRM"], the incumbent will provide second line of defense testing and monitoring of complaints. Specifically, this role will assist in… more
- Capital One (Plano, TX)
- …Diploma, GED or equivalent certification + At least 3 years of experience in compliance testing , compliance monitoring , quality assurance, control review ... Principal Associate who will be responsible for executing risk-based compliance transaction testing under the leadership of...Bachelor's degree + 4+ years of financial services consumer compliance monitoring experience OR 4+ years of… more
- Capital One (Plano, TX)
- …Diploma, GED or equivalent certification + At least 2 years of experience in compliance testing , compliance monitoring , quality assurance, control review ... + Bachelor's degree + 3+ years of financial services consumer compliance testing , compliance monitoring , quality assurance, control review… more
- Capital One (Plano, TX)
- …in Microsoft Office or Google Suite + At least 1 year of experience in compliance testing , compliance monitoring , quality assurance, control review or ... Accounting, Finance or Business Administration + 2+ years of experience in compliance testing , compliance monitoring , quality assurance, control review… more
- FirstBank PR (San Juan, PR)
- …on federal and local consumer protection laws and regulations. The Specialists conduct compliance monitoring and testing to identify policies, procedures, ... business units to mitigate or address the identified risks. + Completes assigned compliance assessments, monitoring and/or testing reviews as scheduled… more
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