- Huntington National Bank (Columbus, OH)
- Description The Compliance Testing Group Team Lead conducts and leads comprehensive 2nd Line of Defense compliance testing reviews to evaluate ... and regulations, and Huntington's compliance risk policies and procedures. The Compliance Testing Group Team Lead is an exciting opportunity to join a… more
- M&T Bank (Clanton, AL)
- …testing methodology, ongoing stakeholder engagement, and overall promotion of the Compliance Testing Group within the organization. **Position ... **Overview:** The Compliance Testing Advisor is responsible for the managing, leading, and execution of compliance testing engagements utilizing a… more
- M&T Bank (Clanton, AL)
- …other areas in CRM such as the Compliance Advisory Group and the Compliance Testing Group , and the Governance and Monitoring Office during the UDAAP ... guidance on complex operations in assigned area of responsibility. Execute the compliance strategy, assist in identifying compliance risk exposure and help… more
- BMO Financial Group (Chicago, IL)
- …analysis and recommendations to management. - Identify opportunities to improve the effectiveness of testing - Act as a liaison and compliance support to various ... for various stakeholders including management. **Qualifications:** - 7+ years' experience in a compliance , control testing , or audit role ideally in a dealer… more
- PagerDuty (San Francisco, CA)
- …and sign-up for job alerts! ** Compliance Analyst** As a Member of our Legal compliance group , you will perform testing activities to assess the design ... and areas for improvement. + Conduct design and operating effectiveness testing to assess compliance controls in accordance with established testing plans… more
- MUFG (Irving, TX)
- …details. **Major Responsibilities:** Responsible for supporting the Global Financial Crimes Compliance Testing ("GFCCT") function in performing deep dive reviews ... to count?** Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the world's 10 largest financial...with management with a goal to independently lead end-to-end compliance testing reviews, applying the Bank's … more
- SMBC (Jersey City, NJ)
- SMBC Group is a top-tier global financial group...Experience. + CRCM certification a plus. + Has a Compliance Testing , Bank Regulatory or Internal Audit ... Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, including...testing engagements to validate the efficacy of regulatory compliance internal controls. This role will have coverage for… more
- Citigroup (Tampa, FL)
- …licenses are helpful: FINRA Series 7, 63, 65. **Job Family Group :** Compliance and Control **Job Family:** Testing **Time Type:** Full time **Primary ... as a senior compliance risk analyst for Independent Compliance Risk Management (ICRM)'s Compliance Testing - Branch Examinations team responsible for… more
- Citigroup (Jersey City, NJ)
- …reported issues. Key Activities include: + Developing, implementing, and executing compliance testing , continuous assurance, and reporting programs within an ... assigned region in accordance with the Compliance Testing (CT) Plan. + Participating in...Wealth Operations. ; Advanced degree a plus **Job Family Group :** Compliance and Control **Job Family:** … 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...area of focus; Advanced degree a plus **Job Family Group :** Compliance and Control **Job Family:** … more
- Citigroup (Jersey City, NJ)
- …in area of focus; Advanced degree a plus **Job Family Group :** Compliance and Control **Job Family:** Testing **Time Type:** Full time **Primary Location:** ... Activities include: + Participating in the planning, executing, and reporting of compliance testing reviews and regulatory issue validation covering middle and… more
- Citigroup (Tampa, FL)
- … risks and controls implemented by Citi's first and second line of defense. The Compliance Testing Sr. Analyst performs risk-based monitoring and testing of ... to address reported issues. **Responsibilities:** + Develop, implement, and execute compliance monitoring and testing , continuous assurance, and reporting… 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 ... issues. Key Activities include: + Developing, implementing, and executing compliance testing and reporting programs in accordance...area of focus; Advanced degree a plus **Job Family Group :** Compliance and Control **Job Family:** … more
- SMBC (Jersey City, NJ)
- SMBC Group is a top-tier global financial group ....7+ years of swap dealer experience + Has a Compliance Testing , NFA or Internal Audit background + ... Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, including...Americas Division is seeking a VP of Swap Dealer Compliance Monitoring & Testing (M&T). The VP… more
- Citigroup (Tampa, FL)
- …Advanced degree or relevant certification a plus. **Job Family Group :** Compliance and Control **Job Family:** Testing **Time Type:** Full time **Primary ... controls implemented by Citi's first and second line of defense. The Compliance Testing Sr. Analyst performs risk-based monitoring of Citi's compliance risks… more
- MUFG (Irving, TX)
- …team will provide more details. Additional Job Description **Financial Crimes Compliance Systems Testing , AVP** **Job Summary:** This **Financial Crimes ... to count?** Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the world's 10 largest financial... Compliance Systems Testing , AVP** role is in the Global Financial Crimes… more
- BMO Financial Group (Milwaukee, WI)
- … group and is accountable to meet all program requirements (eg, Operating Group Compliance Program, AML Program Framework). + Builds awareness, knowledge, and ... + Supports the management of 1st LOD program for the business/ group in compliance with appropriate principles, standards & direction from the second line… 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 ... to count?** Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the world's leading financial groups....Ltd. This role will assist in the execution of testing of the Bank's Financial Crimes systems and tools… more
- TD Bank (Greenville, SC)
- …**Line of Business:** Compliance **Job Description:** **Department Overview:** The Senior Compliance Group Manager - Collections will have compliance ... role which is outlined in the general summary below. **Job Summary:** The Senior Compliance Group Manager oversees assigned compliance functions for the… more
- BMO Financial Group (New York, NY)
- …compliance monitoring and testing . + Identifies enhancements to business group compliance tools and processes and communicates to required stakeholders. + ... developments. Maintains functional and regulatory expertise specific to business group and refers to Compliance policies and...specific to business group and refers to Compliance policies and procedures for requirements. + Provides advice… more
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