- Shimadzu Scientific Instruments (Charlotte, NC)
- …Instruments is one of the largest suppliers of analytical instrumentation, physical testing , and environmental monitoring systems in the world. Ground-breaking ... quotes, negotiate terms, and manage the closing process. Ensure compliance with procurement processes and purchasing protocols. EDUCATION AND QUALIFICATIONS:… more
- TD Bank (Charlotte, NC)
- …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, including:** + Lead strategic planning efforts and support US … more
- TD Bank (Charlotte, NC)
- …CRA, UDAAP, GLBA; familiarity with securities regulations a plus. + Experience in compliance monitoring , testing , and control mapping. + Hands-on experience ... business reports, and key risk indicators to identify trends, gaps, and potential compliance risks. + Review and validate first-line testing to ensure gaps… more
- Vanguard (Charlotte, NC)
- …and elevate our client experience. Responsibilities + Conducts routine and targeted compliance monitoring and testing across financial services operations, ... are seeking a seasoned compliance professional to lead monitoring and testing for our broker-dealer's Cash program, which includes banking-like features such… more
- KeyBank (Charlotte, NC)
- …to various lines of business. Additionally, the Compliance Officer will conduct compliance monitoring and testing to ensure compliance risks ... evolves and grows. + Proven ability to work in a team environment. + Compliance monitoring and testing skills. + Sound decision-making skills; able to make… more
- KeyBank (Charlotte, NC)
- …to consumer deposit accounts. Additionally, The Senior Compliance Officer will conduct compliance monitoring and testing to ensure compliance risks ... the development of new products and/or processes. + Conduct compliance monitoring to proactively identify process improvements...mitigating risk to Key. + Conduct gap analyses and testing to ensure compliance risks are mitigated… more
- KeyBank (Charlotte, NC)
- …and a strong focus on risks and controls. + Knowledge of internal controls, compliance testing and monitoring processes (including analytics), and applicable ... Risk Management ["CRM"], the incumbent will provide second line of defense testing and monitoring of complaints. Specifically, this role will assist in… more
- Coinbase (Charlotte, NC)
- …of operations. *What you'll be doing: * Lead a team of 10-15 Compliance (Transaction Monitoring / AML and Fraud Investigations/EDD) Analysts; * Ensure ... connection, and alignment. Attendance is expected and fully supported. The Compliance team within Customer Experience (CX) is responsible for developing and… more
- US Bank (Charlotte, NC)
- …- 6+ years' experience in Risk Management or applicable line of business (eg, compliance , testing and monitoring , or audit), preferably in financial services ... the results of WCIB Issue Management validation and sustainability testing can be easily followed and clearly understood to...are remediated in a timely manner. - Ensure timely monitoring and tracking of assigned issues to meet established… more
- Bank of America (Charlotte, NC)
- …test structure to determine automation viability, accessing pertinent databases to source testing data, and collaborating with Compliance and Operational Risk ... + Adaptability + Attention to Detail + Collaboration + Monitoring , Surveillance, and Testing + Problem Solving...Execution Manager and Test Lead, develops and executes assigned testing scope as prescribed by the Global Compliance… more
- TD Bank (Charlotte, NC)
- …assess weaknesses and gaps with TD's policies, procedures, and expectations or non- compliance with key laws and regulatory requirements. Testing teams implement ... for testing all Bank programs that aim to facilitate compliance with anti-money laundering, anti-terrorist financing, anti-bribery and corruption, and sanctions… more
- TD Bank (Charlotte, NC)
- …assess weaknesses and gaps with TD's policies, procedures, and expectations or non- compliance with key laws and regulatory requirements. Testing teams implement ... for testing all Bank programs that aim to facilitate compliance with anti-money laundering, anti-terrorist financing, Anti-Bribery and corruption, and sanctions… more
- TD Bank (Charlotte, NC)
- …(COF) including.** + ** Compliance -wide frameworks, guidelines and standards for testing , monitoring , risk assessment, reporting and other activities** + ... Compliance programs (ie, risk assessments, 2nd line oversight of business monitoring and testing programs, new business initiatives), including frameworks,… more
- Wells Fargo (Charlotte, NC)
- …requirements + Oversee the Front Line's execution and challenges appropriately on compliance related decisions + Provide oversight and monitoring of risk-based ... comply with the operational risk monitoring requirements of the Independent Monitoring , Testing , and Validation Policy, Operational Risk Program Policy, and … more
- TD Bank (Charlotte, NC)
- …(COF) including;** + ** Compliance -wide frameworks, guidelines and standards for testing , monitoring , risk assessment, reporting and other activities** + ... risk and conduct risk within the US Wealth businesses;** + **Independently testing , monitoring and assessing the adequacy of, adherence to and effectiveness… more
- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking a **Lead Compliance Officer** in Corporate Risk as part **Trade Surveillance Oversight** Team. This role will be ... oversight of the front-line Market Conduct & Supervision Program market abuse monitoring activities. Learn more about the career areas and business divisions at… more
- Coinbase (Charlotte, NC)
- …filing a SAR. Additionally, you will be proactively detecting emerging risks, optimizing compliance processes, and testing new tools and models before deployment ... connection, and alignment. Attendance is expected and fully supported. The CX Compliance team is essential in ensuring that our global CX Compliance… more
- American Express (Charlotte, NC)
- …policy interpretation, regulatory change implementation, and incident response. + Support compliance testing , audit readiness, and business responses to ... and comply with applicable regulatory obligations. + Support the execution of compliance risk assessments and ongoing monitoring activities within the business… more
- TD Bank (Charlotte, NC)
- …+ Develop and deliver specialized/ad hoc training, as required. + Support testing engagements from Internal Audit, Compliance Quality Assurance, and others. ... function for assigned line of business through the development and monitoring of compliance programs within the larger compliance framework developed +… more
- Coinbase (Charlotte, NC)
- … Program Manager to oversee the execution of high-priority regulatory compliance Programs within the company's Transaction Monitoring (TMS) function. ... Attendance is expected and fully supported. As the CX Compliance Program Manager at Coinbase, you'll lead the charge...to deliver large-scale, global projects ensuring that all transaction monitoring objectives are met on time and within scope.… more
