- SMBC (New York, NY)
- …and ensuring they are appropriately managed and mitigated. + Monitoring and Testing : Oversee the Compliance Monitoring and Testing Program, ... **Role Description** The Head of Risk Assessment, Monitoring and Testing , and Regulatory Change Management...This role is tasked with leading three key functions: Compliance Risk Assessment, Monitoring and Testing… more
- TD Bank (New York, NY)
- …vision for our approach to perform quality assurance testing and monitoring throughout the second-line of defense compliance risk management program, ... more specific details for this role. **Line of Business:** Compliance **Job Description:** The Head of US...+ Regulatory, industry and operational knowledge with respect to testing and monitoring . + Ability to operationally… more
- Scotiabank (New York, NY)
- …training materials, and giving presentations. + Manage and respond to Audit, Compliance Testing , and regulatory examination findings and self-identified issues ... Senior Manager, Head of Volcker Compliance **Requisition ID:**...ensure content is consistent with Volcker classifications. + Conduct monitoring for Volcker breaches and ensure valid breaches are… more
- Citigroup (New York, NY)
- …provide compliance advisory services, design key risk indicators and compliance monitoring programs, identify reporting metrics associated with regulatory ... related remediation. + Conduct and supervise regulatory risk assessments and monitoring / testing thought leadership, creating action plans to mitigate identified… more
- Xerox (Norwalk, CT)
- …business risks and proposing mitigating strategies, coordinating audit and internal controls testing and ensuring compliance with laws, regulations and company ... Global Head of Audit & Internal Controls (Chief Audit...Norwalk State/Province Connecticut Country United States Department AUDIT & COMPLIANCE Date Wednesday, September 11, 2024 Working time Full-time… more
- Citigroup (New York, NY)
- …actions, control validations, and control enhancement initiatives. + Partner with controls, testing and monitoring leads to track progress to ensure timely ... The Services In-Business Operational Risk and Resiliency Head is a first line of defence specialist...operational resilience and the associated programs to ensure business compliance with those programs + Stewardship of business disruption… more
- Mizuho Corporate Bank (New York, NY)
- …AML/KYC QA Team of the Financial Crime Unit and will perform ongoing testing of AML/KYC Compliance Program controls interpreting and affecting internal AML/KYC ... General Department Description The Americas Compliance Department (ACD) manages compliance risk...as well as applicable regulatory requirements. In addition to testing in search of any control weaknesses, the AML/KYC… more
- S&P Global (New York, NY)
- …Contribute to compliance investigations and reviews. + Define and execute compliance monitoring activities. + Actively engage in relevant divisional and ... best practices. This role will report directly to the Head of Compliance , SPDJI. **Responsibilities and Impact:**...matters and actively participate in relevant committees. + Develop monitoring processes to ensure adherence to key policies and… 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
- Meta (New York, NY)
- …complexities head -on, to help design and build continuous operational compliance practices throughout the company while representing our users and their privacy ... and deliver compliance training programs 9. Support regulatory compliance efforts including controls testing , certifications, risk assessments, oversight… more
- S&P Global (New York, NY)
- … Compliance Program Advisor will report to and work directly with the Head of Global Financial Crimes Compliance Program Office within S&P Global Enterprise ... detail and a solution oriented mindset + Experience with other Financial Crimes Compliance areas including internal testing , tracking, and advising on … more
- Citigroup (New York, NY)
- …the Citi's Wealth Segments businesses. This position reports to the Wealth Client Segments Control Testing Head within the Control Testing Utility and is an ... over technical strategy. Responsible for supporting the Wealth Client Control Testing Head on performance initiatives related tasks, including interaction… more
- Mizuho Corporate Bank (New York, NY)
- …the annual review plan by conducting independent credit reviews to ensure compliance with Bank policies and procedures as well as adherence with regulatory ... discounted cash flow analysis. + Assess the sufficiency of credit risk monitoring programs, relevant performance covenants and monitoring guidelines and trigger… more
- Scotiabank (New York, NY)
- …governance framework is preferred including understanding of Supervision, Surveillance & Monitoring , Trade Floor Supervision, Risk and Control Library etc. **What ... systems and knowledge. + Lead and assist in design and operating effectiveness testing to verify adequacy of controls for managing operations risks in trading… more
- MUFG (New York, NY)
- …including Intraday monitoring , collateral management, cash flow forecasting, stress testing , and compliance with ALM guidelines. **Job Requirements** + 3 ... colleagues, in close collaboration with other global entities including Tokyo head office. **Responsibilities** + Manage all liquidity risk management reporting and… more
- BlackRock (New York, NY)
- …investment and asset management, risk management, operations, finance, and legal and compliance . **Technology Audit** The Technology Audit Team, also in the US, ... Europe and Asia, performs design review and testing related to technology controls across application systems and...other audit teams by reporting directly to the Global Head of Audit and does not participate in traditional… more
- Banco Popular Puerto Rico (New York, NY)
- …are resolved appropriately + Responsible for responding to requests from audit, risk, compliance , legal, and other monitoring bodies for matters related to ... for the Bank's core commercial deposit product set. The role reports to our Head of Product and will provide an opportunity to influence strategy and make meaningful… more
- SMBC (New York, NY)
- …processes, and procedures designed to ensure risk identification, aggregation, mitigation, and monitoring capabilities in compliance with the sound operation of ... define and develop key risk categories and risk identification in full compliance with relevant regulations. 3. Assist in the development of frameworks, policies,… more
- KPMG (Stamford, CT)
- …+ Handle executive reporting, pre-escalation management and prompt escalation of critical issues to Head of TAM + Lead audit delivery and being the central point of ... experience including scoping, planning, performing, managing, reporting and remediation monitoring activities + Strong experience with senior stakeholder management… more