- 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 ... participation in the Regulatory Compliance Unit. Informs and advises Oriental...regulatory exams, external and internal audits. + Supervise Monitoring & Testing employees. Carry out supervisory… more
- Bank of America (Hialeah, FL)
- …+ Financial Services and/or related government entity Skills: + Regulatory Compliance + Monitoring , Surveillance, and Testing + Critical Thinking ... plan as needed + Contributes to risk coverage plans, executes independent risk monitoring , testing , and risk assessments + Supports with escalating financial… more
- SMBC (New York, NY)
- …role is tasked with leading three key functions: Compliance Risk Assessment, Monitoring and Testing , and Regulatory Change Management. Additionally, the ... and oversee the activities of the Compliance Risk Assessment, Monitoring and Testing , and Regulatory Change Management teams, ensuring alignment with the… more
- SMBC (Jersey City, NJ)
- …a small team of compliance professionals to support monitoring and testing engagements to validate the efficacy of regulatory compliance internal ... is seeking a Vice President of Banking (Americas Team) Compliance Monitoring and Testing . The...management. + CRCM Certification (A Plus) + Has a Compliance Testing , Bank Regulatory or… more
- 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 ... oversee Oversight Program over first line and second line Monitoring and Testing Activities + Conduct Quality... testing activities to ensure that first line testing effectively meets standards for coverage of compliance… more
- Navy Federal Credit Union (Vienna, VA)
- Overview The Compliance Monitoring and Testing team performs monitoring and testing activities as an integral part of the Compliance Management ... policies and procedures, federal and state laws, regulations, and regulatory expectations. We also develop and maintain compliance...testing activities. The Summer Associate will support the compliance monitoring and testing efforts,… more
- TD Bank (New York, NY)
- …**Preferred Qualifications:** This Compliance Officer is a key member of the TDS US Compliance Monitoring and Testing Team and Core Compliance Group. ... as needed. **Depth and Scope:** + Execute the annual Compliance testing and monitoring plan...but not required + Strong Knowledge of operations, finance, regulatory reporting, sales and trading, and applicable rules and… more
- Discover (Riverwoods, IL)
- …The Principal Compliance Specialist will be responsible for executing risk-based compliance monitoring and testing for the purpose of independently ... and regulations. The position requires experience in the design and execution of compliance monitoring and testing , including test script development, issues… more
- Navy Federal Credit Union (Vienna, VA)
- …B; Fair Housing Act, and Home Mortgage Disclosure Act (HMDA). Experience in compliance monitoring and testing activities. Perform risk-based compliance ... regulatory requirements + Researches, analyzes and interprets regulatory compliance laws, opinions and court decisions...compliance program + Participates in internal and external compliance testing and audits + Prepares responses… more
- SMBC (Jersey City, NJ)
- …SMBC's Compliance Department Americas Division is seeking a VP of Swap Dealer Compliance Monitoring & Testing (M&T). The VP is responsible for execution ... serve as a team member for M&T annual planning, monitoring and testing reviews. This role will...7+ years of swap dealer experience + Has a Compliance Testing , NFA or Internal Audit background… more
- Capital One (Plano, TX)
- Plano 5 (31065), United States of America, Plano, Texas Director, Regulatory Compliance Testing The Auto Finance and Fair & Responsible Banking (F&RB) ... the applicable requirements and are operating as intended. The Compliance Testing Director is responsible for assuring...+ 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 ... in the design and execution of compliance testing and reporting, as well as regulatory compliance knowledge and expertise. **Responsibilities** + Manages… more
- JPMorgan Chase (Jersey City, NJ)
- …and Operational Risk. Your role will necessitate a solid understanding and experience in Compliance , as well as a familiarity with regulatory and/or audit best ... Undergraduate degree or equivalent experience. + 5+ years' experience in financial services, compliance or regulatory role required. + The position will require… more
- JPMorgan Chase (Plano, TX)
- …Control functions. This position necessitates a solid understanding and experience in Compliance , along with a familiarity with regulatory and/or audit best ... + Undergraduate degree or equivalent experience. + 3+ years' experience in financial services, compliance or regulatory role required. + Ability to travel 35% +… more
- Citizens (Johnston, RI)
- …work experience. + Certifications Preferred: Certified Internal Auditor, Certified Regulatory Compliance Manager, Certified Fraud Examiner, Certified Public ... to stretch yourself! As an Enterprise Technology & Security, Monitoring and Testing Risk Manager, you will...complex lines of business and/or products. + Execute control testing to ensure compliance with regulations and… more
- Wells Fargo (Minneapolis, MN)
- …flexibility, collaboration, and adaptability are important. + Specialized knowledge or prior regulatory compliance testing or review experience. + Experience ... to standards and other applicable policies. The Regulatory Reporting Incremental Compliance (RRIC) team within Independent Testing & Validation. RRIC is a… 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 ... and test plan for capability testing and monitoring . They will develop standardized testing templates...sub-capability to ensure adaptability under various stress scenarios and compliance with the latest regulatory expectations +… more
- JPMorgan Chase (Tampa, FL)
- …challenging the status quo and striving to be best-in-class. As a Monitoring / Testing Senior Associate in the Global Compliance , Conduct, & Operational Risk ... of controls executed by the lines of business through Monitoring and Testing activities to validate compliance with internal policies and procedures, as well… more
- Mizuho Corporate Bank (New York, NY)
- …and developing and implementing compliance controls and programs such as: + Compliance testing , surveillance and monitoring + Drafting and implementing ... Monitoring Activities + Collaborate with other Compliance Governance pillars, including Regulatory Change, ...Compliance Governance pillars, including Regulatory Change, Compliance Risk Assessment, Compliance Testing ,… more
- Citigroup (Irving, TX)
- …in the planning, executing, and reporting of compliance testing and monitoring and compliance and regulatory issue validation activities for a ... 2nd Line of Defense position serving as a Consumer Compliance monitoring and testing officer...products. + Experience in planning, executing, and reporting on compliance testing reviews and regulatory … more
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