- JPMorgan Chase (Jersey City, NJ)
- …President within the Practices Audit team, you will support Internal Audit 's Regulatory Engagement and Exam Management Team, including assisting in ... MIS/reporting. You will also assist in the execution of exam -related and ad hoc regulatory requests and...Regulatory initiatives; escalate key milestones and decisions to Audit Management + Develop and prepare internal … more
- JPMorgan Chase (Jersey City, NJ)
- …Associate within the Practices Audit team, you will support Internal Audit 's Regulatory Engagement and Exam Management Team, including executing BAU ... initiatives, exam related and ad hoc regulatory requests and responses. You will also assist in...Acceptance Testing of relevant Audit Tools supporting regulatory engagement processes + Prepare internal reporting/metrics… more
- TD Bank (Mount Laurel, NJ)
- …risk assessment, reporting and other activities + Centralized policy and reports inventories + Internal Audit , regulatory exam , and ongoing supervision ... overall enterprise strategies and objectives. + Provides responses to regulatory agencies and Internal Audit ....+ Provides responses to regulatory agencies and Internal Audit . Interacts directly and independently with… more
- Capital One (Plano, TX)
- …assessments executed by peers for accuracy and adherence to test procedures + Evaluate Internal Audit , Regulatory Exam , and self identified issues ... 5+ years of experience supporting, partnering, and interacting with internal business clients + 6+ years of experience in...+ 6+ years of experience in compliance, legal or audit + Certified Regulatory Compliance Management (CRCM)… more
- Capital One (Plano, TX)
- …remediation; escalate and facilitate with subject matter experts, when necessary; + Evaluate Internal Audit , Regulatory Exam , and self-identified privacy ... and outside the Compliance Department; and + Understanding of key regulatory and audit requirements and three lines of defense risk management framework. Basic… more
- Capital One (Mclean, VA)
- …on remediation; escalate and consult with subject matter experts, when necessary; + Evaluate Internal Audit , Regulatory Exam , and self-identified privacy ... and outside the Compliance Department; and + Understanding of key regulatory and audit requirements and three lines of defense risk management framework. Basic… more
- Capital One (Plano, TX)
- …senior management and the Board of Directors, and other governance activities + Evaluate Internal Audit , Regulatory Exam , and self-identified issues and ... in data and proactively advise on identified external and internal risks + Stay current on the changing ...internal risks + Stay current on the changing regulatory landscape and understanding the impacts to your business… more
- Citizens (MA)
- …follow-up and time management skills. + Experience in regulatory and internal audit interaction, exam management/ coordination, and issue management/ ... of the EVP, Deputy General Counsel & Head of Regulatory Relations for the Bank Regulatory Group,...and capital markets, finance, and central functions (human resources, internal audit and legal). Combining a sound… more
- Capital One (Mclean, VA)
- …and Responsibilities:** + Drive centralized management of audit and exams; facilitate internal audit and regulatory interactions such as development of ... of America, McLean, Virginia Principal Associate, Risk Manager - Audit & Exam Engagement As a Principal...project and program management practices + Support interactions with Internal Audit and Regulatory agencies… more
- Truist (Charlotte, NC)
- …Dodd-Frank, The Fair and Accurate Credit Transactions Act (FACTA)) and of internal audit and the regulatory exam process 4. Highly effective consultative ... purpose of data collection and management and respectful treatment of client and internal data, recognizing the importance of building trust in and outside of the… more
- Morgan Stanley (New York, NY)
- …For Regulatory Exam Support: Juris Doctorate a plus * For Audit Oversight & Regulatory Remediation Roles: Certified Internal Auditor (CIA) ... Oversight Group and be based in New York, NY. * Regulatory Exam Support:* * Provide support &...workpapers (documentary evidence) to support review of remediation activities * Internal Audit Oversight:* * Collaborate with stakeholders… more
- JPMorgan Chase (Plano, TX)
- …(CTPO) Exam Management team has a pivotal role in leading and supporting regulatory , internal and external exam activity aligned to the CTPO Program. ... + Prepare internal reporting/metrics and ongoing analyses of all global regulatory activities + Strengthen exam management framework to ensure consistent … more
- MUFG (New York, NY)
- …multiple stakeholders and collaborate with key business partners, risk management, and internal audit **QUALIFICATIONS** + Undergraduate degree plus 15 years in ... remediation activities, and deliverables to ensure that ITA meets regulatory and audit milestones, deliverables and implements...Board (FRB) expectations + Combined experience in IT external audit , IT internal audit , and… more
- Citigroup (New York, NY)
- …comprehensive and culminate in consistent messaging **Responsibilities:** + * Manage complex regulatory exams and Internal Audit reviews that require ... in Credit, Market and/or Operational Risk Stripes* Solid understanding of Regulatory Interactions with a background in exam management/coordination, management… more
- Discover (Riverwoods, IL)
- …clarify requests, provide effective challenge. + Assists BRIC and Business Unit Leadership in regulatory exam , internal audit , and compliance review ... regulations, regulatory exam requirements and regulatory guidance. + Interacts with internal stakeholders,...and external audits. + Reviews documentation in response to regulatory exams, internal and external audit… more
- American Express (Phoenix, AZ)
- …6 Years experience in operational risk management (eg, within Risk and/or Internal Audit function) Understanding of critical operational risk management ... Financethrough regular communication (eg, Communities of Practice) + Support the day-to-day internal and external exam management process for Finance, working… more
- Bankers Trust (Des Moines, IA)
- … auditors for various exams and audits for Wealth Management (SOC1, RIA Surprise Audit , FDIC Trust Exam , BSA, FDICIA) . Provides supporting documentation for ... Wealth Management Project & Audit Specialist Location Des Moines, IA # of openings...external and internal audits and maintains tracking log. Delegates exam… more
- Bank of America (Charlotte, NC)
- …executive routines + Business Controls, Risk Management and Oversight including issue, audit and exam management and risk and compliance program governance ... Chief Operating Officer - Executive (Corporate Audit and Credit Review) Charlotte, North Carolina;Stamford, Connecticut; Atlanta, Georgia; Boston, Massachusetts;… more
- State of Nevada (NV)
- …to ensure compliance with State law according to departmental procedures, and prepare audit reports; follow internal protocol when preparing case files and ... COMPLIANCE/ AUDIT INVESTIGATOR 2 APPROXIMATE ANNUAL SALARY - $59,257.44...laws or regulations pertaining to a specific program or regulatory area such as securities, Medicaid, mortgage lending, or… more
- Citigroup (Jersey City, NJ)
- …management, front line, second line (including independent risk, finance, HR, and Legal), Internal Audit to obtain information / documentation to respond to ... a risk officer for Independent Compliance Risk Management (ICRM)'s Exam Management and Regulatory Liaison Office responsible...relevant internal stakeholders such as Technology and Internal Audit on the development of Corrective… more