- TD Bank (Greenville, SC)
- …with a team of enthusiastic colleagues dedicated to setting new industry standards. **U.S. Compliance Testing Team Summary:** **U.S. Compliance Testing ... and is responsible for the execution of independent, risk-based compliance testing to assess the effectiveness of operational procedures and controls related… more
- Scotiabank (Dallas, TX)
- Compliance Testing Senior Manager, Swap Dealer and Derivatives Compliance **Requisition ID:** 220508 **Salary Range:** 99,790.00 - 190,995.00 _Please note ... for every future! **Purpose** Contributes to the overall success of GBM&T Compliance Testing team and Swap Dealer and Derivatives Compliance ensuring… more
- Santander US (Dallas, TX)
- Regulatory Compliance Testing - Advisor Country: United States of America **Your Journey Starts Here:** Santander is a global leader and innovator in the ... **We Want to Talk to You!** **The Difference You Make:** The Advisor, Compliance Testing (CT) plays a crucial role in ensuring SC is in compliance… more
- Santander US (Dallas, TX)
- Regulatory Compliance Testing - Senior Advisor Country: United States of America **Your Journey Starts Here:** Santander is a global leader and innovator in the ... Talk to You!** **The Difference You Make:** The Senior Advisor is part of the Compliance Testing ("CT") team for the Santander US Compliance Testing Unit… more
- TD Bank (New York, NY)
- …culture and comprehensive approach to managing regulatory compliance risk. This Director - Compliance Testing Team Lead role is a newly created role on the ... wider Monitoring and Testing Team. The Director - Compliance Testing Team Lead oversees/leads a team(s) of specialists/professionals providing advice,… more
- UMB Bank (Kansas City, MO)
- …of administering effective compliance monitoring and other mandated programs. As a Compliance Testing Analyst you will assist the Compliance Testing ... ERISA, and other applicable laws. + Plan, develop and execute compliance testing , including control design and performance reviews and transactional testing… more
- First Horizon Bank (Memphis, TN)
- …the review, providing timely status and potential issue updates to the Compliance Testing (CT) Director, issuance of preliminary findings to management, ... background required (2-4 years). Background in preparing for internal ( Compliance Testing and/or Audit) and external (regulatory) examinations preferred.… more
- Truist (Atlanta, GA)
- …office - Charlotte, Atlanta or Raleigh Perform SOX IT and cybersecurity compliance testing . Identifies and assesses Truist's Corporate cybersecurity legal, ... cybersecurity. + Ensures regulatory rules are incorporated into appropriate compliance policies, standards, processes, training, and monitoring/ testing … more
- TD Bank (New York, NY)
- …Compliance Monitoring and Testing + Develop and design annual and cycle-based Compliance Testing and Monitoring plans + Execute the annual Compliance ... This Compliance Officer is a key member of the TDS US Compliance Monitoring and Testing Team and Core Compliance Group. The Monitoring and Testing … more
- Charles Schwab (Lone Tree, CO)
- …to join the team, as a Senior Manager, responsible for conducting risk-based compliance testing within our affiliated investment advisory programs and mutual ... testing scopes that include applicable regulatory requirements and adhere to established compliance testing policies & procedures + Conduct compliance … more
- FirstBank PR (San Juan, PR)
- … framework. + . Supervise Compliance Officers and Specialists within the Compliance Testing Unit, providing coaching, mentoring, and technical + guidance on ... COMPLIANCE ASSISTANT MANAGER COMPLIANCE REGULATORY TESTING DEPT FIRSTBANK PR Our Company At FirstBank PR, we strive to be a trusted advisor to our clients… more
- BMO Financial Group (Chicago, IL)
- Control Testing Specialist, Wealth - Regulatory Compliance This role will deliver on components of the 1LOD testing plans for Wealth LOBs' in accordance with ... experience in a testing or audit role in areas involving Regulatory Compliance . + Recognized Compliance certificate or equivalent preferred. + Experience in… more
- Celtic Bank (Salt Lake City, UT)
- Celtic Bank's Regulatory Compliance Analyst - Testing assists management in ensuring regulatory compliance at our Strategic Lending Partnerships ("SLP") and ... and experience in performing internal control reviews, quality assessments or Compliance or Audit testing . + Ability to problem solve and work independently. +… more
- SMBC (White Plains, NY)
- …Banking and Compliance Experience + CRCM Certification (A Plus) + Has a Compliance Testing , Bank Regulatory or Internal Audit Background + Able to work ... SMBC's Compliance Department Americas Division ("CPAD") is seeking a Compliance Monitoring and Testing Associate. The Associate-level position is responsible… more
- FirstBank PR (San Juan, PR)
- …process to identify trends, risk exposure, control effectiveness, and residual risks. + Compliance Testing and Reporting Plan : Keep Management up to date ... Compliance Officer Our Company At FirstBank PR, we...number one place for you. A Brief Overview The Compliance Officer supports the effective implementation of the … more
- TD Bank (New York, NY)
- … Monitoring and Testing + Assist with developing and executing the annual Compliance Testing and Monitoring plan + Determine scope of reviews; build detailed ... Senior Compliance Officer is a key member of the TDS US Compliance Monitoring and Testing Team and Core Compliance Group. The Monitoring and Testing … more
- PNC (Pittsburgh, PA)
- …collaborative manner. **Job Description** + Plans the execution of business unit compliance testing program to prevent illegal, unethical, or improper business ... opportunity to contribute to the company's success. As an Enterprise Testing Specialist - Compliance within PNC's Risk Management organization, you will be based… more
- Walmart (Bentonville, AR)
- …** **What you'll do ** Must work in Bentonville, AR The **Manager Specialty Compliance and Ethics, AML Testing and Monitoring** role will participate in ... risk-based control testing by using financial services industry knowledge to identify...Resources, or related field and 2 years' experience in compliance , ethics, legal, project management, or related area OR… more
- KeyBank (Amherst, NY)
- …of business management and compliance partners in designing and executing compliance testing , special projects, and ongoing monitoring. + Demonstrate subject ... matter expertise in compliance testing and working knowledge of applicable wealth management and trust related regulations and laws, industry trends, emerging… more
- KeyBank (Brooklyn, OH)
- …ongoing compliance with applicable laws and regulations through the execution of compliance and operational risk monitoring and testing across Key's lines of ... Job** As part of Key's second line of defense Compliance Risk Management function, the Risk Evaluation and Assurance...assist in the design and execution of operational risk testing and continuous monitoring. Individuals work both autonomously on… more
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