- BMO Financial Group (Milwaukee, WI)
- …it is posted accordingly on our Canadian site. The Managing Director - Enterprise Compliance Testing (MD) leads and directs the second line compliance ... global team responsible for execution of second line regulatory compliance testing for US and Canadian jurisdictions....requested. As a senior member of the second line compliance group , the MD works with business/… more
- SMBC (New York, NY)
- SMBC Group is a top-tier global financial group...Experience + CRCM Certification (A Plus) + Has a Compliance Testing , Bank Regulatory or Internal Audit ... SMBC's Compliance Department Americas Division ("CPAD") is seeking a Compliance Monitoring and Testing Associate. The Associate-level position is responsible… more
- MUFG (Tempe, AZ)
- …function, this influential senior position involves developing and executing a robust compliance testing program to meet escalating regulatory standards. The ... to count?** Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 7th largest financial group ... Risk Inventory. Collaborating closely with the Head of Compliance Testing , Chief Compliance Officer,… more
- SMBC (New York, NY)
- SMBC Group is a top-tier global financial group ....7+ years of swap dealer experience + Has a Compliance Testing , NFA or Internal Audit background + ... Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, including...Americas Division is seeking a VP of Swap Dealer Compliance Monitoring & Testing (M&T). The VP… more
- MUFG (Irving, TX)
- …as assigned. + Stay abreast of current trends in data management, compliance testing and developments concerning BSA/AML/Sanctions, fraud schemes, and ... to count?** Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 7th largest financial group ...bank. You will be instrumental in the execution of testing of Compliance systems and tools in… more
- Regions Bank (Birmingham, AL)
- …the careers section of the system. **Job Description:** At Regions, the Business Unit Compliance Group Manager leads multiple teams of first line of defense risk ... + Serves as a subject matter expert on the implementation and execution of testing compliance controls + Advises business unit on key compliance issues and… more
- Lincoln Financial Group (Columbus, OH)
- …that applicable broker dealer, investment advisors, and registered representatives' compliance functions follow all rules, regulations, policies, and procedures. ... supervisory branch audits for home office and consults with Compliance on results. Acts as a resource to applicable...**What's it like to work here?** At Lincoln Financial Group , we love what we do. We make meaningful… more
- Principal Financial Group (Des Moines, IA)
- …of spending and firm limits for gifts and entertainment. + Complete compliance testing assignments on an ongoing basis, assist with compiling ... **What You'll Do** As a Compliance Advisor within Principal Asset Management you'll focus...you'll focus on the broker dealer and investment advisers' compliance program for electronic communications, books and records, licensing… more
- Compass Group, North America (Chicago, IL)
- …Under the direction of the Vice President of Internal Audit, the Financial Compliance Auditor is accountable for visiting these locations during events to verify ... key processes and controls are operating effectively. The role of Financial Compliance Auditor is to support the organization in proactively identifying and… more
- Sanofi Group (Framingham, MA)
- Principal Manufacturing Compliance Engineer owns and ensures a robust investigations process, uses expert knowledge of compliance and GXP manufacturing processes ... improve process operations, and affect positive change. + Represent Manufacturing Compliance Engineer team on cross-functional teams involved in the design and… more
- Universal Engineering Sciences (Springdale, AR)
- …UES is a nationwide leader in Geotechnical Engineering, Construction Materials Testing and Inspection, Building Code Compliance , Environmental, Occupational ... some of the greatest talent in Geotechnical Engineering, Construction Materials Testing and Inspection, Code Compliance , Environmental, Occupational Health &… more
- Public Consulting Group (Council Bluffs, IA)
- **Overview** Public Consulting Group LLC (PCG) is a leading public sector solutions implementation and operations improvement firm that partners with health, ... regulations preferred. + Knowledge and expertise in interpreting and applying federal compliance regulations, including HIPAA and IT security. + Ability to develop… more
- BMO Financial Group (Chicago, IL)
- …Commercial Bank Headquarters, reporting to the Head of Risk & Control. The group is responsible for leading 1st Line risk efforts for North American Commercial ... guidelines. Develops and maintains an effective data quality and internal control testing framework that defines the ways and methods governance is implemented,… more
- Huntington National Bank (Columbus, OH)
- Description The Compliance Testing Group Team Lead conducts and leads comprehensive 2nd Line of Defense compliance testing reviews to evaluate ... Huntington's compliance risk policies and procedures. The Testing Group Team Lead is an exciting...and ensure meeting or exceeding all Testing Group expectations. + Assist the Compliance … more
- Capital One (Wilmington, DE)
- …processes. You will collaborate with an experienced and diverse group of Compliance professionals to provide independent testing for the lines of business ... E, and FCRA. As a Compliance Senior Associate, you will execute Compliance testing based on the line of business, the regulatory risks that business faces,… more
- Morgan Stanley (Baltimore, MD)
- …candidate will plan and execute in-depth tests on topics assigned by Operational Risk Compliance Testing . The Operational Risk Compliance Testing team ... Compliance (GPAC) programs. - The Global Regulatory Relations Group (GRRG) is responsible for strategic and centralized management...is part of the broader Global Compliance Testing organization. The team plans and executes the Operational… more
- SMBC (New York, NY)
- …offers a competitive portfolio of benefits to its employees. **Role Description** SMBC Group is seeking a Vice-President for the Compliance Risk Assessment team ... to the design Compliance Risk Assessment (CRA) framework for the SMBC Group Americas Division. + Remain informed of regulatory changes and how they impact the… more
- Parker Hannifin Corporation (North Hollywood, CA)
- Export Trade Compliance Site Lead Location : NORTH HOLLYWOOD, CA, United States Job Family : Marketing Job Type : Regular Posted : Apr 11, 2024 Job ID : 46444 Back ... Description Apply Now > Save JobJob Saved Export Trade Compliance Site Lead Location: Parker Meggitt - Fluid Systems...Street, North Hollywood, CA 91605 ABOUT PARKER MEGGITT AEROSPACE GROUP . We are a global leader in the… more
- Manulife (Boston, MA)
- …regulatory requirements of SEC Rules 38a-1 and 206(4)-7 + Supervise and perform internal testing duties as it relates to compliance policies and procedures for ... with Code of Ethics Oversight responsibilities **How will you create impact?** The Compliance Manager role on our Monitoring and Testing Team is accountable… more
- MUFG (Irving, TX)
- …heard and your actions to count?** Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 7th largest financial group in the world. Across the ... a vision to be the world's most trusted financial group , it's part of our culture to put people...and resourceful candidate interested in pursuing a career in compliance and the banking industry? This opportunity might be… more