- Amalgamated Bank (New York, NY)
- The Head of Compliance Monitoring & Testing is responsible for ensuring compliance with regulatory requirements and internal policies across ... a compliance risk assessment; develop and implement a comprehensive compliance monitoring and testing program to assess adherence to regulatory… more
- 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
- Citigroup (New York, NY)
- …Compliance and AB&C. **Responsibilities:** + Design, Develop, implement, and execute the compliance independent assessment monitoring and testing plan for ... to identify issues/problems and devise recommendations for complex situations. **Global Head Compliance Independent Assessment for AML, Sanctions and AB&C**… more
- SMBC (New York, NY)
- …procedures for optimized efficiency and productivity + Set strategic priorities with the Head of Compliance Surveillance to identify areas of focus and identify ... of managerial and administrative tasks, including tracking deliverables to internal audit and Monitoring & Testing + Build and develop relationships with all … more
- Citigroup (New York, NY)
- Head of Capital Management is an enterprise Strategic role for Citigroup, owning the enterprise-wide capital planning and management processes for the group, and its ... the enterprise's Strategic Planning capability. As a part of this process, the Head of Capital Management manages the enterprise's Capital Stress Testing … 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 framework, guidance, and test plan for capability testing and monitoring . They will develop standardized testing templates and collaborate with… 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 ... compliance risks Summary ACD seeks a Vice President, Compliance Monitoring within the Compliance ...other Compliance Governance pillars, including Regulatory Change, Compliance Risk Assessment, Compliance Testing ,… more
- Bloomberg (New York, NY)
- …by localized or domain-specific teams. **We'll trust you to:** + Support the Global Head of Risk and Compliance Shared Services, the global Chief Compliance ... risk management program + Coordinating or conducting relevant risk monitoring and testing routines on a risk-focused...Managing ad hoc assignments as directed by the Global Head of Risk Assurance and Testing Oversight… more
- Scotiabank (New York, NY)
- …Compliance officers to identify regulatory risks and integrate regulatory controls and monitoring into the overall technology control testing plan. + Document ... monitor progress of remedial actions for issues identified through Technology Control testing and by others, including Internal Audit, Compliance , regulators,… 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
- 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
- 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
- Wells Fargo (New York, NY)
- …the business and internal testing teams + Create weekly reporting to inform head of business of status of open issues + Manage, report, and remediate operational ... risk events + Manage testing engagements with internal audit and other ...credit policy exceptions, monitoring control execution and monitoring of adherence to regulatory compliance requirements… more
- SMBC (New York, NY)
- …the control environment including issues management, audits/reviews, Annual Risk Assessment, testing of controls and customer remediation. Ensures compliance in ... the team's goals and strategic direction of the Bank. Position reports directly to the Group Head of LMG and has dotted line reporting to the Group Head of the… more
- Morgan Stanley (New York, NY)
- …activities required from the firm for Home Loans organization *Review 2nd Line Compliance testing and monitoring results -Perform root cause analysis ... a team of individuals that provide business support for Compliance QA, Compliance Call Monitoring ...within Home Loans - Business Continuity Planning, Business Unit testing , Compliance Testing , Servicing QC… more
- Mizuho Corporate Bank (New York, NY)
- …US Operations of Mizuho Financial Group. It is responsible for ensuring compliance with Enhanced Prudential Standards (EPS) liquidity requirements for Foreign Bank ... such as the broker dealer and derivative trading entities. You will report to the head of Mizuho Americas Market and Liquidity Risk Management, a 2nd Line of Defense… more
- TD Bank (New York, NY)
- …identification and due diligence, enhanced due diligence, policy, governance, training and/or compliance assurance and testing + Provides oversight on day-to-day ... - TDS, Senior AML Financial Crime Risk Oversight Specialist will provide AML compliance support for all aspects of the TD Prime Services business, Prime Brokerage… 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
- Citigroup (New York, NY)
- …across the Equities product suite. This role will report to the Global Head , and will support the Futures & Derivatives Clearing (FDC) businesses, with opportunity ... risk manager in In-Business Risk (IBR) within Equities, responsible for measuring, monitoring , and controlling risk for Futures, OTC Clearing, and potentially other… more
- Santander US (New York, NY)
- …of **CLO Warehousing / Securitization** credit quality including internal and regulatory compliance . Key focus will be on: + CLO Warehousing (Broadly Syndicated ... of Leverage Finance market and Securitization. The role will report to the Head of Securitization Credit Risk and will sit within Structured Finance Credit Risk… more