- TD Bank (Portland, ME)
- …guidance and works closely with various stakeholders and team members as required. The Financial Controls team is a newly established function within the AMCB ... objective is to proactively manage, monitor, and enhance the effectiveness of financial controls , ensuring accuracy, compliance, and risk mitigation across the… more
- TD Bank (Portland, ME)
- …and/or control functions and promotes alignment with enterprise and/or regulatory requirements + Keeps abreast of emerging issues, trends, and evolving ... Compliance for Credit Cards and Unsecured Lending, specifically related to regulatory compliance monitoring. This role will execute monitoring, conduct regulatory… more
- TD Bank (Portland, ME)
- …**Line of Business:** Governance & Control **Job Description:** The **Governance & Control Manager ** manages governance and control efforts to enable the ... + Ensures business operations are in compliance with applicable requirements (eg financial controls , segregation of duties, transaction approvals and physical … more
- Citizens (Portland, ME)
- …the Senior Manager upholds and maintains the Risk and Control Self-Assessment (RCSA) and Controls Assessment enterprise-wide requirements, plans, executes ... mechanisms. + Serves as an advisor on RCSA and controls testing industry best practices, processes, and regulatory...and Control Self-Assessment (RSCA), Issues Management, and Control Assessment. + Knowledge of regulatory guidance… more
- TD Bank (Portland, ME)
- …expert objective guidance and independent challenge.** **In this position, the Compliance Manager will manage the regulatory change management process, ... and maintaining, or providing oversight of and challenge to policies, procedures and controls designed to meet regulatory requirements and manage regulatory … more
- TD Bank (Portland, ME)
- …operations are in compliance with applicable internal and external requirements (eg financial controls , segregation of duties, transaction approvals and physical ... operations are in compliance with applicable internal and external requirements (eg financial controls , segregation of duties, transaction approvals and physical… more
- TD Bank (Portland, ME)
- … control functions, and drives alignment with enterprise and/or regulatory requirements + Assesses/identifies key issues and escalates to appropriate levels ... with established policies, standards and procedures. The Compliance Quality Assurance Manager (US) will execute these reviews and/or perform peer reviews. This… more
- Wells Fargo (Portland, ME)
- …requirements + Act as the primary point of escalation for operational controls , technology and service inquiries from Financial Advisors, Client Associates, ... this role:** Wells Fargo is seeking a Branch Support Manager in Wealth and Investment Management as part of...training, military experience, education + US only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7… more
- TD Bank (Portland, ME)
- …The Risk Manager I is expected to ensure sound credit control by proactively managing risks within the bank's guidelines and fostering effective communication ... **Department Overview:** Team provides a strong focus on governance, control , and risk management behaviors that align with TD's...that align with TD's policies and practices. The Risk Manager I will lead or participate in the identification,… more
- KeyBank (Portland, ME)
- …in their financial wellness and achieve their goals. The Branch Manager is accountable for branch operations and compliance by providing direction and guidance ... and businesses in our Key Bank communities. The Branch Manager builds, coaches, develops, leads, and motivates a team...and direction to branch team to ensure compliance of regulatory , security and internal controls , which includes… more
- GE Aerospace (Auburn, ME)
- …with other insurance products Responsible for driving technical accounting compliance, financial and operational internal controls , process simplification, and ... to the Finance teams and the organization on statutory accounting, filings and regulatory requirements. Assist financial reporting teams as required to ensure… more
- TD Bank (Portland, ME)
- …RESPA, EFTA, etc.) and sufficiency of systems, processes, and oversight to support regulatory compliance. The Audit Manager I will participate in the planning, ... details for this role. **Line of Business:** Audit **Job Description:** The **Audit Manager I** - US Compliance Audit is responsible for executing and leading audit… more
- TD Bank (Portland, ME)
- …LLC and TD Wealth Management Services Inc) with independent and complex regulatory regimes. The Financial Advisors, Relationship Managers, and Investment ... and timely fashion + Guides and complements the assigned portfolio in terms of financial , regulatory and risk management requirements + Interacts with control… more
- TD Bank (Lewiston, ME)
- …Skills:** + Prior AML (Anti-Money Laundering) investigations experience, within a financial institution or regulatory environment + Strong knowledge of ... you more specific details for this role. **Line of Business:** Financial Crime Risk Management **Job Description:** **Department Overview:** **_Our team currently… more
- TD Bank (Lewiston, ME)
- …and results reporting in-line with testing requirements + Understands the use of controls for managing financial crimes risk and applies this understanding to ... + Presents objective and independent opinion on the adequacy of processes and controls in accordance with regulatory and internal requirements + Executes… more
- TD Bank (Portland, ME)
- …operations are in compliance with applicable internal and external requirements (eg financial controls , segregation of duties, transaction approvals and physical ... corporate and/or control functions and ensure alignment with enterprise and/or regulatory requirements + Keeps abreast of emerging issues, trends, and evolving … more
- WSP USA (Portland, ME)
- …WSP is currently initiating a search for a **Senior Geotechnical Engineering Manager ** for our **Merrimack, NH** office. Candidate will be involved in projects ... and presentations explain research, findings, and recommendations to prevent, control , restore, or address design, and/or construction issues or opportunities.… more
- TD Bank (Lewiston, ME)
- …you more specific details for this role. **Line of Business:** Financial Crime Risk Management **Job Description:** **Department Overview:** **Our team currently ... from law enforcement referrals, proactive initiatives, 314a/314b, and internal referrals. This Financial Crime Risk Senior Investigator will be a part of the… more
- TD Bank (Portland, ME)
- …compliance risk management frameworks and programs, including Compliance Risk Assessment and regulatory controls management + Experience with regulatory ... Programs + Manage the Compliance Risk Assessment framework to ensure the applicable regulatory compliance risks and internal controls are identified and assessed… more
- TD Bank (Portland, ME)
- …to be in compliance with applicable internal and external requirements (eg financial controls , segregation of duties, transaction approvals and physical ... corporate and/or control functions and manages alignment with enterprise and/or regulatory requirements + Keeps abreast of emerging issues, trends, and evolving … more