- TD Bank (New York, NY)
- …they should be tracked + Utilize the Firm's in-house system, Merlin, for TDS US Compliance monitoring and testing activities + Provide review and challenge ... more specific details for this role **Job Description:** The Director Compliance TDS oversees/leads a team(s) of...oversee Oversight Program over first line and second line Monitoring and Testing Activities + Conduct Quality… more
- Oriental Bank (San Juan, PR)
- … is primarily responsible for the maintenance and administration of Oriental Bank's Compliance Monitoring & Testing , Review and Training Plans. Active ... Testing or Reviews Tracking System. + Assist the Compliance Director or designee to update the...federal regulatory exams, external and internal audits. + Supervise Monitoring & Testing employees. Carry out supervisory… more
- Capital One (Plano, TX)
- …mitigate the risk of the applicable requirements and are operating as intended. The Compliance Testing Director is responsible for assuring testing ... Plano 5 (31065), United States of America, Plano, Texas Director , Regulatory Compliance Testing The...+ At least 5 years of financial services consumer compliance monitoring experience + At least 5… more
- Discover (Riverwoods, IL)
- …a brighter financial future with Discover. **Job Description:** The Senior Manager - Compliance Monitoring and Testing is responsible for administering and ... executing the Compliance Testing Program within Corporate Compliance . The program...internal partners regarding potential issues and status of assigned compliance review. + Assists Director with finalizing… more
- City of New York (New York, NY)
- … of the Medical Division, DSNY seeks to recruit an experienced candidate to serve as Director of Drug and Alcohol Testing (DAT) for the entire agency. This role ... annually for employees of multiple city agencies and manages vendor contracts for additional testing as needed. The DAT Director supervises an internal team and… more
- Citigroup (New York, NY)
- The Testing and Monitoring Director will support the Head of RRP Non-Financial Capabilities, Controls, and Testing in defining and maintaining the ... testing framework, guidance, and test plan for capability testing and monitoring . They will develop standardized testing templates and collaborate with… more
- Capital One (Mclean, VA)
- Center 1 (19052), United States of America, McLean, Virginia Audit Director , FCC & Compliance (Hybrid) Capital One's Audit function is a dedicated group of ... all aspects of compliance and/or financial crimes compliance across the bank. A Director on...will be responsible for designing and executing a risk-based testing strategy to ensure the quality of Consumer and… more
- Santander US (New York, NY)
- …of America The Senior Director , Model Validation for Santander US Compliance models (Transaction Monitoring , Sanctions Screening, Fraud Risk, etc) will be ... Senior Director , AML Compliance Model Validation New...Model Development and/or Validation of, Compliance , transaction monitoring , Below the Line testing , and Risk… more
- BMO Financial Group (New York, NY)
- …training needs and helps develop training based on gaps identified through the compliance monitoring and testing . + Identifies enhancements to business ... Capital Markets Compliance Team is seeking a Compliance Director with primary accountability for the... compliance program. Coordinates and performs risk assessment, monitoring , testing and surveillance activities to ensure… more
- Capital One (New York, NY)
- …299 Park Avenue (22957), United States of America, New York, New York Audit Director , Financial Crimes Compliance (Hybrid) Capital One's Audit function is a ... candidate will focus on all aspects of financial crimes compliance across the bank. A Director on...will be responsible for designing and executing a risk-based testing strategy to ensure the quality of AML, Sanctions… more
- CCSI INC (Rochester, NY)
- …the compliance audit and monitoring plan and conducting compliance audits for customers- testing operational effectiveness of key controls using a ... Compliance Director , Senior Consultant WFH Flexible * Rochester, NY (http://maps.google.com/maps?q=Rochester+NY+USA) * Consulting Job Type Full-time Description … more
- S&P Global (New York, NY)
- **About the Role:** **Grade Level (for internal use):** 12 ** Director , Global Sanctions & Financial Crimes Compliance Program Advisor** **About the Role:** ... **Responsibilities and Impact:** **The Impact:** + The Director , Global Sanctions & Financial Crimes Compliance ...solution oriented mindset + Experience with other Financial Crimes Compliance areas including internal testing , tracking, and… more
- Ankura (NY)
- …development and lead generation. + Conduct independent regulatory program reviews and Testing ; + Drafting BSA/AML compliance programs and developing training for ... including risk assessments, KYC, policies, procedures, internal controls, and transaction monitoring and watchlist systems; + Draft written compliance programs… more
- Walmart (Bentonville, AR)
- …with Walmart's external 3rd party lab partners in execution of the Product Safety and Compliance testing program. **You'll sweep us off our feet if ** + 5+ ... Position Summary What you'll do As the Director of Product Safety & Compliance ,...into and directing program development and execution; driving the monitoring of these programs across the organization; and proactively… more
- CIBC (New York, NY)
- …visit CIBC.com (https://www.cibc.com/en/about-cibc.html) The Senior US Equity Derivatives Compliance Officer is responsible for: 1) administering CIBC's policies ... Markets Equities and Equity Derivatives businesses; (2) taking reasonable steps to ensure compliance with all SEC, FINRA, and all other relevant SRO (eg Cboe)… more
- Bowery Residents Committee (Manhattan, NY)
- Position Overview Reporting to the CFO, the Director of Audit Compliance performs various aspects of professional internal auditing work. Responsible for ... accordance with management instructions, policies and procedures, and regulatory authorities. The Director of Audit Compliance will manage internal and external… more
- Fifth Third Bank, NA (Cincinnati, OH)
- …all types. ESSENTIAL DUTIES AND RESPONSIBILITIES: Testing - Collaborate with the Compliance Director on the overall management and execution of the Bank's ... banking at Fifth Third Bank. GENERAL FUNCTION: Partners with Compliance Director in advocating and facilitating the...compliance testing program to ensure it is… more
- Fifth Third Bank, NA (Cincinnati, OH)
- …GENERAL FUNCTION: Responsible for conducting testing in accordance with the Compliance Testing Standards and Operating Procedures to ensure compliance ... and corresponding documentation for review and approval from the compliance manager/ director . + Design test plan/scripts to...experience required. + One to Three (1-3) years of Compliance Testing or equivalent work experience. +… more
- Citigroup (Irving, TX)
- …the development of innovative solutions which take a data driven approach to support Compliance monitoring and testing activities. + Maintain key stakeholder ... as a key contributor to future strategy using data and analytics to perform monitoring and testing in order to identify potential Compliance risks to Citi +… more
- RELX INC (Philadelphia, PA)
- …sanctions policies and identifying programmatic enhancements. + Testing and Monitoring : Design processes to test and monitor compliance with sanctions ... management, and regulatory requirements. + Managing Investigations Quality: Coordinate with compliance testing to ensure consistent incident management. +… more
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