- 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)
- …**Job Description:** This Compliance Officer is a key member of the TDS US Compliance Monitoring and Testing Team and Core Compliance Group. The ... of the Core Compliance program as needed. Compliance Monitoring and Testing +...wide range of capital markets products and services to corporate , government, and institutional clients who choose us for… 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,...Actively manages relationships within and across various business lines, corporate and/or control functions and manages alignment with enterprise… 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 ... Compliance program as needed. **Depth & Scope:** Compliance Monitoring and Testing +...wide range of capital markets products and services to corporate , government, and institutional clients who choose us for… more
- American Express (New York, NY)
- …Headquarters (AENB HQ) and Enterprise Shared Services (ESS) The objective of the Corporate Function Control Management Risk ID, Assessment, Testing and Reporting ... inherent and residual risk. The Manager-Risk ID, Assessment & Testing , Corporate Functions Control Management will report...criteria to align with regulatory updates) + Conduct control monitoring (supplemental to BU process owners testing )… more
- AIG (New York, NY)
- Senior Manager, Compliance Data Analytics & Monitoring Compliance partners with GLCR Data Analytics & Automation (GLCR DAA) to maintain a Testing and ... partner with GLCR DA&A team to deliver the annual Compliance Testing plan, leveraging existing automation platforms:...ongoing test statuses and provide feedback to manager and Corporate Compliance , highlighting issues or areas of… more
- L3Harris (Arlington, VA)
- …sea and cyber domains in the interest of national security. Job Title: Internal Monitoring , Global Trade Compliance (Arlington, VA) Job Code: 27667 Job Location: ... compliance with US trade regulations as required. Internal monitoring includes monthly and quarterly self-assessment activity as well...Incidents (RCI) as needed + Assist with managing the corporate trade compliance program. + Develop 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
- TD Bank (Greenville, SC)
- …implementation of Compliance programs to mitigate risk. US COC oversees a corporate oversight compliance risk management program. The Compliance Manager ... compliance program, including control mapping, risk assessments, regulatory change and monitoring and testing , as examples.** + **Environment conditions would… 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 ... Compliance Testers as part of the wider Monitoring and Testing Team. The Director -...wide range of capital markets products and services to corporate , government, and institutional clients who choose us for… more
- Charles Schwab (Lone Tree, CO)
- …Department coordinates Schwab's compliance efforts, and performs an advisory, monitoring , testing , and education role to support management's supervisory ... team, as a Senior Manager, responsible for conducting risk-based compliance testing within our affiliated investment advisory...for compliance with applicable regulatory requirements and corporate policy + Complete assigned testing in… more
- Wells Fargo (Minneapolis, MN)
- …collaboration, and adaptability are important. + Specialized knowledge or prior regulatory compliance testing or review experience. + Experience reviewing ... a Lead Independent Testing Officer in Independent Testing & Validation (IT&V) as part of Corporate...standards and other applicable policies. The Regulatory Reporting Incremental Compliance (RRIC) team within Independent Testing &… more
- Mizuho Corporate Bank (New York, NY)
- …(ie calendar invites, prepare decks, note taking) Americas Treasury Department (ATD) Compliance coverage Assist with and develop controls, monitoring and ... the financial services industry, ideally with particular emphasis on Volcker, Corporate Treasury activities, Bank regulations compliance , derivatives regulations… more
- UMB Bank (Kansas City, MO)
- ** Corporate Compliance Services** partners with UMB... monitoring and other mandated programs. As a Compliance Testing Analyst you will assist the ... Compliance Testing Manager in carrying out the testing ...practices and regulatory requirements. You will identify and communicate compliance deficiencies and potential issues to Corporate … more
- Mizuho Corporate Bank (New York, NY)
- …Crime Compliance department. This role will be expected to perform ongoing testing of the AML Transaction Monitoring , KYC, and Sanctions procedures against ... General Department Description The Americas Compliance Department (ACD) manages compliance risk...regulatory requirements. In addition to testing in search of any control weaknesses, the FCC… more
- BMO Financial Group (Chicago, IL)
- …and stakeholder needs. + Performs and/or effectively challenges monitoring and testing activities to ensure regulatory compliance controls are operating and ... group, internal/external stakeholders and trust with regulators. + Analyzes and reports compliance information and testing outcomes to Compliance and… more
- Robert Half-Robert Half Corporate (San Ramon, CA)
- …and a Fortune 100 Best Companies to Work For is hiring for a Contracts Compliance Manager NA to join the Procurement department. The Contracts Compliance Manager ... of term expiry dates, security assessment evaluations, purchase obligations, regulatory compliance documentation to include Supplier Inclusion, GDPR, ISO, and other… more
- FirstBank PR (San Juan, PR)
- …which may arise from self-assessment, reviews by the Internal Audit or Corporate Compliance departments, or external regulatory bodies. + Participate actively ... Information Technology / Information Security third party service providers and monitoring compliance of agreed-upon contracts/terms. + Oversee the Penetration… more
- Sanofi Group (Morristown, NJ)
- …Monitor within the Ethics & Business Integrity department at Sanofi, you will lead compliance monitoring activities within the US Monitoring Team. This ... of what's possible? Join Sanofi in one of our corporate functions and you can play a vital part...Business Integrity Department and cross-functional teams to ensure robust compliance monitoring controls and effective remediation of… more
- Atlantic Health System (Morristown, NJ)
- …site. + Corporate Flu Clinics (September- November) + Health Fairs/ Screenings/ Testing + Lectures/Webinars + Attends all Team Meetings At Atlantic Health System, ... diem Nurse Practitioner to be part of the Atlantic Corporate Health team. The NP will be responsible for...steps to contain infectious diseases. + Provides education & monitoring for chronic illnesses as required by the patient… more