- TD Bank (Mount Laurel, NJ)
- …judgment regarding responsiveness and appropriateness.** **In this position, the** ** Compliance Audit and Exam Manager will manage ongoing supervision ... Compliance regulatory** **engagement** **strategy. The Compliance Audit & Exam Manager will prepare regular stakeholder communication, provide input… more
- TD Bank (Charlotte, NC)
- …industry standards. TD Bank is seeking a Senior Manager to coordinate across Compliance Programs to proactively prepare for audit exams. The manager is ... to detail, and strong executive communication skills to interact with senior compliance stakeholders and audit partners. Key Responsibilities: + Draft an… more
- Capital One (Mclean, VA)
- Senior Manager , Risk Management - Audit & Exam Engagement Lead Capital One is one of the fastest growing organizations in the world today, powered by our ... with their advice and to deliver high-impact results. The Audit and Exam Engagement Lead will play...worked. McLean, VA: $170,800 - $194,900 for Sr. Risk Manager Richmond, VA: $155,300 - $177,200 for Sr. Risk… more
- Truist (Atlanta, GA)
- … compliance gaps, evaluating and tracking cyber program maturity, and acting as exam & audit advisor to business segments and functions. **ESSENTIAL DUTIES ... Insurance Corporation (FDIC) Leads and develops strategies for closing cybersecurity management compliance gaps, partners in the analysis of legal, regulatory and … more
- JPMorgan Chase (Chicago, IL)
- Join the Wholesale Lending Services (WLS) Control Management organization as an Exam Manager , Senior Associate. In this high-impact role, you will coordinate and ... exam readiness across the organization. As an Exam Manager Senior Associate within the Commercial...experience in financial services with a background in controls, audit , quality assurance, operational risk management, or compliance… more
- American Express (Salt Lake City, UT)
- …and together, you will help us define the future of American Express. The Regulatory Exam Lifecycle Management team ("RELM") in Global Risk and Compliance is the ... make an impact in this role?** + The RELM Manager is primarily responsible for supporting regulatory exams across...Seamlessly execute regulatory exams beginning with announcement of the exam through closure. + Support the execution of regulatory… more
- American Express (New York, NY)
- …US banking industry consumer and prudential compliance requirements, and support integrated audit teams with their compliance audit approach. This role ... City, or Phoenix and reports to the Vice President, Audit Leader of IAG's Global Compliance team....Public Accountant (CPA), Certified Internal Auditor (CIA), Certified Regulatory Compliance Manager (CRCM)) + Experience with data… more
- CVS Health (AZ)
- …division business owners. + Assist in the identification, prioritization, and completion of exam / audit deliverables. + Improve CVS Health's PBM Market Conduct ... to join our Government Oversight Accountability Team for our Networks division in a Manager role. This position will act as an important member of the team while… more
- American Express (New York, NY)
- …to learn new skills, develop as a leader, and grow your career. The Manager position is part of the Regulatory Exam Lifecycle Management (RELM) Team ... responses **Minimum Qualifications** + 4 years of experience in risk management, compliance , internal audit , or regulatory affairs, preferably within financial… more
- Capital One (Richmond, VA)
- …to ensure consistency and adequate Compliance Risk Management + Evaluate Internal Audit , Regulatory Exam , and self identified issues and events for ... Role: We are seeking a highly motivated and talented Compliance Manager to join our Governance team...certification + At least 3 years of experience in compliance , legal, or audit + At least… more
- Capital One (Richmond, VA)
- …accuracy and adherence to test procedures + Evaluate Internal Audit , Regulatory Exam , and self-identified issues and events for compliance impacts + Provide ... artificial intelligence + Compliance certification(s) (CRCM (Certified Regulatory Compliance Manager ), ACAMS (Certified Anti-Money Laundering Specialists) or… more
- Panasonic North America (De Soto, KS)
- …(https://www.linkedin.com/in/ambersmallwood) Amber Smallwood **What You'll Get To Do:** The Customs Compliance and Operations Manager will report to Senior ... implement and manage all Customs and Border Protection programs. ** Compliance Operations and Staff Management** + Manager ...exam status with customs brokers + Procedures and Audit **Procedures and Audit ** + Post entry… more
- TD Bank (Charlotte, NC)
- …through expert objective guidance and independent challenge.** **In this position, the Compliance Manager will manage the regulatory change management process, ... testing, monitoring, risk assessment, reporting and other activities** + **Internal Audit , regulatory exam , and ongoing supervision management, finding tracking,… more
- Scotiabank (Dallas, TX)
- Compliance Testing Senior Manager , Swap Dealer...reporting experience. **What You'll Bring** + 5-7 years of compliance , audit or regulatory exam ... at least 3 of which should involve testing or audit . + Experience/background in compliance applicable to...involve testing or audit . + Experience/background in compliance applicable to institutional trading & sales, investment banking,… more
- TD Bank (New York, NY)
- …**Job Description:** Our TD Securities Compliance team is seeking a VP Compliance Manager for the brand new Trade Surveillance Quality Assurance team to ... a plus. + 7+ years of experience in Surveillance Quality Assurance or Internal Audit (covering compliance surveillance, and/or risk and control functions) at a… more
- KeyBank (NY)
- **Location:** 4900 Tiedeman Road, Brooklyn Ohio **About the Job** The Sr. Compliance Manager - Trust & Fiduciary is responsible for leading and executing ... + Minimum of 5 years of experience in banking compliance , internal audit , or as a financial...compliance . + Familiarity with issue management and regulatory exam processes. COMPENSATION AND BENEFITS This position is eligible… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $150,000 - $185,000 USD TD is committed to providing fair ... you more specific details for this role. **Job Description:** The Global Compliance Surveillance Department is responsible for overseeing regulatory compliance … more
- Equitable (Woodbridge, NJ)
- Sr. Branch Compliance Manager ( 250000H7 ) **Primary Location** : UNITED STATES-NJ-Woodbridge **Organization** : Equitable **Schedule** : Full-time ... industry + FINRA Series 7 + FINRA Series 24 Exam , required to obtain within 90 days of employment...Compliance Function:** Knowledge of responsibilities and tasks of Audit and Compliance (A&C) function; ability to… more
- Comerica (Auburn Hills, MI)
- …and serves as the point of contact for the 1LOD relationship for all exam related activities including regulatory, 2LOD, Internal Audit , various internal Risk ... Job Description Manager , Business Risk and Control Office (BRCO) Governance...Diploma or GED and 6 years of Risk Management, Compliance , or Audit experience + 8 years… more
- City of New York (New York, NY)
- …evaluations. Only those applicants with permanent civil service status as a Construction Project Manager or who took Open Competitive Exam No. 3042 are eligible ... to support, monitor and ensure that BEDC is in compliance with Federal, State and local EHS laws and...with permanent civil service status as a Construction Project Manager or who took Open Competitive Exam … more