- MUFG Bank, Ltd. (Irving, TX)
- …programs (Sanctions, Anti-Money Laundering, Anti-Bribery & Corruption), business functions, Internal Audit , Compliance Testing, and Regulatory Exam ... compliance issues program in accordance with the Global Financial Crimes Compliance Escalation and Issue Management Standard, for MUFG locations globally… more
- Capital One (New York, NY)
- …and tasks across the team to deliver quality results which may include issue validations, regulatory exam support, and/or other team initiatives. Proactively ... Principal Auditor (Experienced Senior Auditor), Risk Management Audit (Hybrid) Capital One's Audit function...financial analysis, at least 3 years of experience in compliance , or a combination. **Preferred Qualifications:** + 1+ year… more
- KeyBank (Brooklyn, OH)
- …in wealth management or fiduciary services compliance . + Familiarity with issue management and regulatory exam processes. COMPENSATION AND BENEFITS This ... high-quality documentation and reporting. The role may also support issue validation and contribute to initiatives that enhance the...+ Minimum of 5 years of experience in banking compliance testing, internal audit , or as a… more
- American Express (Salt Lake City, UT)
- …leaders, supporting a culture of compliance and accountability. + Support regulatory exam and audit readiness exercises. Participate in audits as a SME when ... in products, services, processes, and controls. + Coordinate with compliance , legal, risk, and audit teams to...CISSP, CISM, CISA, CRISC, CGEIT. + Experience working with compliance technology tools and issue management systems.… more
- Santander US (Dallas, TX)
- …reviews in conjunction with other testers, working cross-functionally, conduct validations, prepare audit or exam requests, or train other less experienced ... assessment of policies and procedures and creating testing scripts) and reporting on compliance testing reviews and regulatory issue validation activities in the… more
- TD Bank (Portland, ME)
- …monitoring project implementation efforts, reviewing risk assessments, vendor engagements, reviewing audit findings and regulatory issues to support exam ... can provide you more specific details for this role. **Line of Business:** Compliance **Job Description:** The Compliance Business Oversight Manager - Marketing… more
- Citigroup (Tucson, AZ)
- …* Serves as the liaison between Core Operations business process owners, and 2nd/3rd line Compliance and Internal Audit teams to monitor and manage the flow of ... any area of the business (organizationally, regionally or product-wise) from an audit / exam perspective, including regular engagement with Senior Business Level… more
- Capital One (Richmond, VA)
- …accuracy and adherence to test procedures + Evaluate Internal Audit , Regulatory Exam , and self-identified issues and events for compliance impacts + Provide ... + Participate in governance activities, including: Compliance Requirements, Compliance Risk Assessments, Business Change Management (LAUNCH), Issue and… more
- City and County of San Francisco (San Francisco, CA)
- …single audit report. + Learning about grant policies and compliance standards of different grantors, administering, and coordinating application and reporting ... THIS IS A CITYWIDE EXAM Specific Information regarding this recruitment process are...+ Spearheading comprehensive policy analysis and research efforts, including issue identification, report preparation, and expert recommendation generation. +… more
- City National Bank (Los Angeles, CA)
- …regarding the ORM framework, policies and procedures. * Support and facilitate audit and regulatory exam activities * Build effective relationships, alliances, ... industry * Minimum 7 years of experience in risk management, operational risk management, compliance , or audit * Minimum 5 years of control assessment and… more
- City National Bank (San Francisco, CA)
- …ORM framework, tools, policies, procedures, and reporting metrics. * Provides 2LOD audit and regulatory exam support * Executes additional departmental ... industry * Minimum 5 years of experience in risk management, operational risk management, compliance , or audit * Minimum 3 years of control assurance experience… more
- MUFG (Irving, TX)
- …the daily operations and execution of a global financial institution's sanctions compliance program. As a member of the Global Financial Crimes Division (GFCD) ... Sanctions Compliance Department, this individual will be the SME supporting...program, specifically focusing on financial crimes controls related to audit and testing, regulatory exams and issues management. The… more
- Citizens (Westwood, MA)
- …Graduate degree or relevant professional designation preferred Industry certifications related to compliance , internal audit or payments (eg, CRCM, CERP, CISA, ... reporting, monitoring, and control improvement. This also includes ensuring compliance with internal policies and applicable regulatory requirements and… more
- Comerica (Dallas, TX)
- …and serves as the point of contact for the 1LOD relationship for all exam related activities including regulatory, 2LOD, Internal Audit , various internal Risk ... or more of the specialty areas: RCSA, Control Design, Issue Management, Control Testing, and Metrics & Reporting based...Industry + 5 years of experience in Risk Management, Compliance , Audit , or related field Experience in… more
- Comerica (Dallas, TX)
- … Exam from the + Federal Reserve Board and the CRA Performance Evaluation Exam . + Escalates any potential non- compliance to the CRA Testing Lead and CRA ... 1071. Independently manage assigned testing engagements, which includes execution, issue vetting, drafting final reports, creating test scripts and...of relevant experience + 4 years of experience in Compliance , Audit , or Risk Management + 3… more
- Bank of America (Charlotte, NC)
- … audit and exam management including direct and indirect audit exam interaction, regulatory responses, issues management + Supports risk ... Qualifications:** + Minimum 3+ years of experience in the Audit , Compliance , or Risk function of a...application systems + Knowledge of Single Process Inventory and Issue Management + Proficient in Collaborations site + Global… more
- City National Bank (New York, NY)
- …preferred * 3-5+ years of experience in residential mortgage operations and QC, compliance , or audit support * Empower LOS * Excel *Additional Qualifications* ... Residential Mortgage Analyst/ QC Lead plays a critical role in ensuring compliance , risk mitigation, and operational efficiency across the Mortgage Division. This… more
- Comerica (Dallas, TX)
- …and serves as the point of contact for the 1LOD relationship for all exam related activities including regulatory, 2LOD, Internal Audit , various internal Risk ... Business. Strong track record of driving timely and effective issue resolution in a financial services context. Deep expertise...Industry. + 6 years of experience in Risk Management, Compliance , Audit , or related field + Experience… more
- Ventura County (Ventura, CA)
- …specific instance from your professional experience where you were responsible for identifying a compliance or audit issue . In your response, please provide ... (VC HCA) policies and procedures. + Evaluate and identify compliance and audit issues and work progressively...The selection process will likely consist of an Oral Exam , which may be preceded or replaced with the… more
- Citigroup (New York, NY)
- …Office applications (Excel, Word, PowerPoint) + Experience in regulatory and Internal Audit interaction, exam management/coordination, and issue management/ ... problem solving and excellent oral/written communication skills (Regulatory, Risk, Internal Audit or Compliance background a plus) + Business, Management,… more
