- US Bank (New York, NY)
- …providing the Audit Committee and senior management with independent assurance and advisory services designed to evaluate and improve the effectiveness of risk ... Completing or assisting the Senior Audit Manager and Audit director in developing the risk-based audit plan. Includes identifying...requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC , the NFA, the FCPA, the Bank Secrecy Act,… more