- Citigroup (Jersey City, NJ)
- Serves as a senior compliance risk analyst for Independent Compliance Risk Management (ICRM)'s Compliance Testing team responsible for assessing ... and controls implemented by Citi's first and second line of defense. The Compliance Testing Sr. Analyst performs risk-based testing of Citi's compliance … more
- M&T Bank (Clanton, AL)
- **Overview:** The Compliance Testing Advisor is responsible for leading and executing complex compliance testing engagements utilizing a risk-based ... and findings to Bank Management and oversee and provide coaching to Compliance Testing Analysts to deliver a quality product in line with department standards.… more
- M&T Bank (Clanton, AL)
- **Overview:** The Compliance Testing Manager II - Consumer Lending role is responsible for the managing and leading of compliance testing engagements ... Direct, Indirect, Credit Card, HELOC, and Overdraft Line of Credit. The Compliance Testing Manager II will also be responsible for contributing to special… more
- Fifth Third Bank, NA (Cincinnati, OH)
- …Third Bank. GENERAL FUNCTION:As a Compliance Officer II (COII) you will conduct compliance testing for the Wealth and Asset Management (W&AM) business and be ... providing employees timely, candid, and constructive performance feedback in assigned compliance testing reviews. MINIMUM KNOWLEDGE, SKILLS AND ABILITIES… more
- Scotiabank (New York, NY)
- Manager, Compliance Testing **Requisition ID:** 214386 **Salary Range:** 90,000.00 - 167,200.00 _Please note that the Salary Range shown is a guideline only. ... and procedures. The primary responsibility of this position is to support compliance testing for Scotiabank's US operations. The US Compliance Testing… more
- M&T Bank (Clanton, AL)
- **Overview:** The Senior Compliance Testing Analyst - Issue Validation Role is responsible leading and executing compliance issue validations utilizing a ... may occasionally support other portfolios. The incumbent may also represent the compliance testing team on compliance risk management projects related to… more
- Capital One (Richmond, VA)
- Compliance Testing Senior Manager The Compliance Testing Senior Manager is a key second line of defense role that leads a team of Compliance ... financial institution, and a proven track record of driving strategic results. The Compliance Testing Senior Manager will - + Lead a multi-tiered Compliance … more
- Citigroup (O'Fallon, MO)
- …Retail Bank and Mortgage). **Responsibilities:** + Developing, implementing, and executing compliance testing , compliance monitoring, and reporting programs ... within the US Personal Banking accordance with the Compliance Testing & Monitoring Plan. + Lead walkthroughs with various business across the firm to document… more
- Citigroup (Jersey City, NJ)
- …Activities include: + Participating in the planning, executing, and reporting of compliance testing reviews and regulatory issue validation covering middle and ... findings, and negotiating with corresponding control/process owners. + Utilizing innovative compliance testing solutions including Data Analytics to increase… more
- MUFG (Irving, TX)
- …more details. **Job Summary:** Responsible for supporting the Global Financial Crimes Compliance Testing (GFCCT) function in performing deep dives and targeted ... lessons learned from regulatory findings and internally identified issues by compliance testing and internal audit + Assist in implementation of a coordinated,… more
- Citigroup (Jersey City, NJ)
- Serves as a compliance testing officer for Independent Compliance Risk Management (ICRM)'s Independent Assessment team responsible for assessing significant ... to address reported issues. Key Activities include: + Developing, implementing, and executing compliance testing and reporting programs in accordance with the … more
- TEKsystems (Mount Laurel, NJ)
- …level Must have skills for Oversight role + 5+ years' experience in a compliance testing function specifically around consumer bank products such as Credit Card, ... Mortgage, etc. + Must have experience performing QA/QC reviews on compliance testing + Need to have regulatory compliance experience and must be very heavy… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Responsibilities** + Collaborate across Compliance teams to maintain a risk-based Compliance Testing program in accordance with testing requirements. + ... closely with other assurance and risk management programs to assess impact of compliance testing results. + Ensure effective coordination occurs within assigned… more
- US Bank (Tempe, AZ)
- …what you excel at-all from Day One. **Job Description** Conduct regulatory compliance testing of brokerage, investment advisory, institutional capital markets ... The ideal candidate will perform the following essential functions: + Conduct compliance testing of the business line's brokerage, investment advisory,… more
- Morgan Stanley (Baltimore, MD)
- *Wealth Management Compliance Testing Tester* Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, ... or firm policies. The person in the role will assist the WM Compliance Testing in completing its annual test plan, communicating to senior management, and… more
- Raymond James Financial, Inc. (CO)
- …to identify, research, analyze and resolve very complex issues. Must have knowledge of compliance testing or audit practices and a deep understanding of a ... + Collaborates across Compliance teams to maintain a risk-based Compliance Testing program in accordance with the program manual. + Finalizes test issues… more
- Citigroup (Tampa, FL)
- …and controls implemented by Citi's first and second line of defense. The Compliance Testing Sr. Analyst performs risk-based monitoring of Citi's compliance ... and reporting activities. + Experience in planning, executing, and reporting on compliance testing reviews and regulatory issue validation activities. +… more
- Insight Global (New York, NY)
- Job Description Insight Global is seeking a Compliance Testing Analyst for a major financial services client in NYC. The role requires a proactive, ... individual with a positive attitude. The key responsibilities include conducting detailed compliance testing to ensure adherence to regulations and firm… more
- MUFG (Irving, TX)
- …as assigned. + Stay abreast of current trends in data management, compliance testing and developments concerning BSA/AML/Sanctions, fraud schemes, and ... Ltd. This role will assist in the execution of testing of the Bank's Financial Crimes systems and tools...Crimes systems and tools in accordance with the global testing plan, for MUFG locations globally. This will include… more
- US Bank (St. Louis, MO)
- …what you excel at-all from Day One. **Job Description** Conduct regulatory compliance testing of capital markets, swap dealer, Municipal Securities Rulemaking ... the Corporate & Commercial Banking (CCB) business line. Assess the business line's compliance with CFTC, FINRA, MSRB, OCC and SEC requirements and the adequacy of… more
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