- TD Bank (New York, NY)
- …assessment, reporting and other activities** + **Centralized policy and reports inventories** + ** Internal Audit , regulatory exam , and ongoing ... the US CCO and the Compliance Executive Team** **The Audit and Exam Management team of US...remediation of Compliance-owned findings, coordinates ad hoc responses to regulatory agencies and Internal Audit ,… more
- Mizuho Corporate Bank (New York, NY)
- …7+ years in data governance and regulatory reporting; second-line, internal audit , or regulatory exam interaction preferred. + Deep understanding of ... internal and external examinations (eg, by regulators or internal audit ) and contribute to the development...Regulatory Reporting, Data Owners, IT Risk, Compliance, and Internal Audit to provide oversight for remediation… more
- TD Bank (New York, NY)
- …and standards for testing, monitoring, risk assessment, reporting and other activities;** + ** Internal Audit , regulatory exam , and ongoing supervision ... cross-functional teams to enhance transparency and decision-making. A strong background in regulatory compliance management, risk, or audit within the banking… more
- Capital One (New York, NY)
- …assessments executed by peers for accuracy and adherence to test procedures + Evaluate Internal Audit , Regulatory Exam , and self-identified issues and ... of business by:** + Providing input on business AML regulatory requirements + Providing guidance on business policies, standards,...OR at least 5 years of experience in an audit or legal role supporting fraud or Anti-Money Laundering… more
- American Express (New York, NY)
- …with the second-line Global Risk & Compliance (GRC) teams. The **Vice President (VP) of Regulatory & Audit Exam Management** will be responsible for the ... team's work related to engagement with and deliverables to internal audit , second line of defense and...to ANEB leadership to keep leadership apprised of key regulatory and audit topics. + Act as… more
- Citigroup (New York, NY)
- …applications (Excel, Word, PowerPoint) + Experience in regulatory and Internal Audit interaction, exam management/coordination, and issue management/ ... requires superior problem solving and excellent oral/written communication skills ( Regulatory , Risk, Internal Audit or...resolution **Job Family Group:** Compliance **Job Family:** Regulatory Liaison & Exam Management **Time Type:**… more
- Citigroup (New York, NY)
- Serves as a Regulatory and Exam Manager for Internal Audit 's Regulatory Management team responsible for the promotion, support, monitoring and ... we are connecting the dots across IA + Manages Internal Audit professionals, recruits staff, leads professional...**Job Family Group:** Regulatory Engagement **Job Family:** Regulatory Liaison & Exam Management **Time Type:**… more
- American Express (New York, NY)
- …accordance with American Express' Internal Audit Methodology, internal policies and standards, and regulatory expectations, while consistently delivering ... 3 years of experience in a consumer and/or enterprise regulatory compliance role within internal /external audit...with other enterprise / operational risk management processes including regulatory exam management / regulatory … more
- Capital One (New York, NY)
- …across the team to deliver quality results which may include issue validations, regulatory exam support, and/or other team initiatives. Proactively take on ... of experience in banking or in financial services + 4+ years experience in internal audit or risk management (can be combined with Big Four external Audit … more
- Citigroup (New York, NY)
- …**Qualifications:** + Minimum eight (8) years of relevant experience + Knowledge of the regulatory engagement process or internal audit + Experience leading ... management, front line, second line (including independent risk, finance, HR, and Legal), Internal Audit to obtain information / documentation to respond to … more
- State of New York Mortgage Agency (New York, NY)
- …Planning, Accounting and Treasury Services, Facilities and Building Management Services, Internal Audit , Project Management and Information Technology Services. ... coordinate HCR's wide array of support services. Job Summary: Under supervision of VP Internal Audit or his/her designee, audit and evaluate the safeguarding… more
- City National Bank (Trenton, NJ)
- …post-purchase audits, repurchase requests, and investor communications * Familiarity with regulatory exam processes and documentation standards * High level ... Prepare complete and accurate loan files for submission to internal and external auditors, regulatory agencies or...platforms (eg, Encompass, Empower, Black Knight) * Experience supporting internal or external audit functions * Working… more
- City of New York (New York, NY)
- …- Engineering Audit , - Vendor Contract Audits & Risk Management, - Internal Audit /Risk Management, - Non-Public Schools Audit & Special Projects, ... are reachable on the open-competitive list (Associate Project Manager, Exam No. 3110) are eligible to apply. DCAS's mission...to learn more about the work we do. DCAS' Audit & Compliance Services unit (ACS) resides within the… more
- TD Bank (New York, NY)
- …performs targeted risk reviews of new or expanded products/services, manages remediation of regulatory and internal audit issues, and maintains standards and ... management in delivery of initiatives related to risk assessment, internal /external exam support, etc. Financial Crime Risk...appetite + Participates in responding to periodic exams/audits by regulatory bodies and Internal Audit ,… more
- TD Bank (New York, NY)
- …process steps prior to closure + Tracking US Compliance Enforcement Actions. + Managing audit and regulatory exams for Regulatory Change. + Manage governance ... environment + Experience assembling data or material from an audit or exam for regulators + Ability...support creation of documentation and reports required by external regulatory bodies and TD internal groups +… more
- Citigroup (New York, NY)
- …conflicts. + Lead the management of regulatory examinations, including pre- audit preparation, coordination with internal stakeholders, and post- exam ... requirements, and guidance on the supported function/business/product and the associated regulatory rules/laws and interpretation on internal policies and… more
- City National Bank (New York, NY)
- …an enhanced operating model for 2LOD review and challenge activities which meet Internal Audit and regulatory expectations * Understand material existing ... and control environment arising from risk assessments, risk monitoring, internal and external events, and regulatory exams...1LOD stakeholders, 2LOD risk type and capability teams, and Internal Audit across disciplines in support of… more
- TD Bank (New York, NY)
- …reviewing risk assessments, vendor engagements, reviewing audit findings and regulatory issues to support exam responses, reviewing business policies and ... business, leading review of brand and consumer product marketing, completing regulatory research, assisting with regulatory change management, issue management,… more
- City National Bank (New York, NY)
- …management skills and be accustomed to working with deadlines. * Certified Regulatory Compliance Manager (CRCM), Certified Internal Auditor (CIA), and/or ... Auditor (CFSA) designation a plus. * Experience communicating and interacting with regulatory agencies, including exam management and other regulatory … more
- TD Bank (New York, NY)
- …is a plus. + 7+ years of experience in Surveillance Quality Assurance or Internal Audit (covering compliance surveillance, and/or risk and control functions) at ... experience at a regulatory body (eg, leading a bank or broker/dealer exam team). + Surveillance experience at Financial Market Regulator (eg, SEC, FINRA, CFTC,… more