- HSBC (Buffalo, NY)
- …- for our customers, our people, our investors, our communities and the planet we all share. CCO Control Testing Manager role act as an independent First ... on control testing . As our CCO Control Testing Manager...without direct management authority + Strong team player In compliance with applicable laws, HSBC is committed to employing… more
- Aegon Asset Management (Cedar Rapids, IA)
- …(TFA) is searching for a Director of Compliance . This position will report to TFA's Chief Compliance Officer ( CCO ). The candidate will support the ... effective remediation plans. Job Description Responsibilities + Advising the Chief Compliance Officer of potential...53 + Insurance license + Experience with FIS(R) Supervision Compliance Manager + Experience with National Financial… more
- Scotiabank (New York, NY)
- Compliance Testing Senior Manager ,... testing is adequately designed to identify potential control gaps and non- compliance with laws and ... future! **Purpose** Contributes to the overall success of GBM&T Compliance Testing team and Swap Dealer and... Testing , Director of Swap Dealer and Derivatives Compliance Operations & Swap Dealer CCO . +… more
- TD Bank (New York, NY)
- …team of US Compliance Operations and Governance coordinates with the Bank's Compliance Units, Compliance Testing , and Oversight Functions to develop the ... US Compliance Risk Management Program, including:** + ** Compliance -wide frameworks, guidelines and standards for testing ,...financial planning, business and operations support for the US Compliance Department, the US CCO and the… more