- SMBC (Jersey City, NJ)
- … Department Americas Division ("CPAD") is seeking a Vice President of BSA/AML Compliance Monitoring and Testing . The Vice President will principally ... deliverables. + Serve as the examiner-in-charge responsible for all facets of compliance monitoring and testing engagements including, but not limited to: +… more
- SMBC (Jersey City, NJ)
- …SMBC's Compliance Department Americas Division is seeking a Vice President of the Compliance Monitoring and Testing team to perform testing of ... M&T Program + Serves as the examiner-in-charge responsible for all facets of compliance monitoring and testing engagements + Assists in the development and… more
- SMBC (Jersey City, NJ)
- …SMBC's Compliance Department Americas Division ("CPAD") is seeking an Analyst for Compliance Monitoring and Testing . The Analyst is responsible for ... for the Americas Division. + Serves as a tester for all facets of compliance monitoring and testing engagements. + Assists in the development and refinement… more
- Citigroup (Tampa, FL)
- …implemented by Citi's first and second line of defense. The Compliance Testing Sr. Analyst performs risk-based monitoring of Citi's compliance risks ... used to address reported issues. **Responsibilities:** + Develops, implements, and executes compliance monitoring procedures in accordance with the Compliance… more
- NatWest Markets (Stamford, CT)
- Senior Monitoring and Testing Compliance Assurance Officer - Swap Dealer Stamford,United States Permanent Full Time \#R-00244248 Our people work differently ... the proper operations of the department and the business._ Senior Monitoring and Testing Compliance Assurance Officer reportingto the US General Counsel… more
- Citigroup (O'Fallon, MO)
- …is a Vice President (VP) 2nd Line of Defense position serving as a Consumer Compliance monitoring and testing officer for Independent Compliance Risk ... Services, Retail Bank and Mortgage). **Responsibilities:** + Developing, implementing, and executing compliance testing , compliance monitoring , and… more
- JPMorgan Chase (Tampa, FL)
- …the box, challenging the status quo and striving to be best-in-class. As a Monitoring / Testing Lead - Vice President in the Global Financial Crimes Compliance ... and Compliance Conduct and Operational Risk (CCOR) Testing Team, you will be responsible for the execution...the Firm's lines of business and Corporate Functions. CCOR Monitoring and Testing (M&T) activities represent an… more
- Manulife (Boston, MA)
- …procedures. + Develop and manage a team of professionals tasked with internal compliance testing responsibilities as it relates to John Hancock Funds, Advisers, ... committees. + Participate in corporate/global projects/committees as needed. + Provide compliance testing subject matter expertise to other corporate/global… more
- Comerica (Farmington Hills, MI)
- …changes that have potential to impact Comerica's compliance framework and the Compliance Testing plan. Monitoring , Audits and Exams * Prepare and ... Compliance Testing Specialist II The Compliance Testing Specialist II within the Second Line of Defense (2LOD) plays a pivotal role in providing… more
- Citigroup (Jersey City, NJ)
- …discussions with corresponding control/process owners. + Assisting with development of Compliance Testing Risk Assessments, Monitoring Monthly, and ... assessments of Citi's compliance risks; performing independent testing activities ( testing and on-going monitoring..., monitoring , and reporting. + Utilizing innovative compliance testing solutions including Data Analytics to… more
- Citigroup (Tampa, FL)
- …with CTA Plan. + Performs compliance controls testing , transactional testing , or compliance controls monitoring activities based on the pre-defined ... as a senior compliance risk analyst for Independent Compliance Risk Management (ICRM)'s Compliance Testing team responsible for assessing compliance … more
- Truist (Charlotte, NC)
- …of America) **Please review the following job description:** Responsible for executing testing and/or compliance monitoring indicators for assigned business ... of risk and control assessments, change risk initiatives, and aggregated control environment monitoring and trend analysis with the goal of minimizing losses for the… more
- Capital One (Mclean, VA)
- …Finance, Economics, Information Systems or Business Administration - 3+ years of experience in compliance testing or monitoring - 3+ years of experience as ... GED or equivalent certification - At least 2 years of experience testing or monitoring in a compliance department for an institutional broker dealer,… more
- Commerce Bank (Kansas City, MO)
- … control activities of the first line for defense. Leads the Compliance Monitoring team in conducting monitoring , testing , and general review activities ... with internal leadership teams + Develop annually, and adjust as necessary, the compliance monitoring and testing schedule based on risk assessments and team… more
- Thrivent Financial (Salt Lake City, UT)
- …in the areas of compliance risk assessments, regulatory change management, compliance testing & monitoring , and issue management workflows. Certificates ... role leads the Bank's Community Reinvesment Act Program as well as broad Compliance activities, Compliance Assurance Testing , BSA/AML, and Responsible… more
- Capital One (Richmond, VA)
- …Degree or military experience + At least 5 years of experience in Compliance Testing , Risk Management, Compliance Monitoring , or Audit + At least 5 years ... + 6+ years experience at a financial institution in Compliance Testing , Risk Management, Compliance Monitoring , or Audit + 6+ years of people management… more
- City National Bank (Phoenix, AZ)
- …corrective actions are taken when compliance risk appetites are exceeded. * Perform compliance testing and monitoring activities to ensure that all areas ... is mitigating compliance risks adequately. Will manage monitoring and testing of regulations, controls and...performance indicators. What you will do * Track various compliance monitoring metrics, key performance indicators, and… more
- Mizuho Corporate Bank (New York, NY)
- Team Head of AML/Sanctions compliance testing reviews and monitoring for Americas Region. PRINCIPAL DUTIES AND RESPONSIBILITIES:Manage multiple testing ... 2nd Line of Defense.Serve as a head of AML/Sanctions compliance testing team, responsible for AML/Sanctions and...to maintain a solid foundation of applicable regulatory framework.Conduct monitoring on Fin Crime Compliance items requested… more
- CVS Health (Salt Lake City, UT)
- … Plan Execution (** 80%) + Plan and execute walkthrough initiatives as well as compliance monitoring testing for assigned monitoring plan activities. ... COE will be a key member of the Compliance Monitoring team and will lead the...and testing attributes documents prior to beginning testing . + Effectively perform and document monitoring … more
- Truist (Atlanta, GA)
- …of America) **Please review the following job description:** Perform risk management and compliance monitoring and testing for Retail Banking sales practices ... compliance monitoring . Prepare detailed reporting on monitoring and testing results with attention to...assigned business unit(s). + Recommend process improvements based on compliance monitoring and/or testing results.… more
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