- NatWest Markets (Stamford, CT)
- Senior Monitoring and Testing Compliance Assurance Officer - Swap Dealer Stamford,United States Permanent Full Time \#R-00244248 Our people work ... proper operations of the department and the business._ Senior Monitoring and Testing Compliance Assurance Officer reportingto the US General Counsel and… more
- NatWest Markets (Stamford, CT)
- …business._ **Swap Dealer Testing VP (2LOD)** Reporting to the Senior Monitoring and Testing Compliance Assurance Officer this role is responsible for ... be part of an effective Compliance Assurance testing program and will be responsible for monitoring...of policy. **Key Responsibilities:** + Implement the NWM, US Compliance Assurance Monitoring and Testing … more
- TD Bank (New York, NY)
- …This Senior Compliance Officer is a key member of the TDS US Compliance Monitoring and Testing Team and Core Compliance Group. The ... Compliance program as needed. **Depth & Scope:** Compliance Monitoring and Testing +...judgment and ability to closely partner with and advise senior and line managers and other stakeholders on regulatory… more
- Scotiabank (New York, NY)
- Senior Manager, US AML Monitoring and Testing **Requisition ID:** 215612 **Salary Range:** 117,400.00 - 224,700.00 _Please note that the Salary Range shown ... success of the Global Banking and Markets ("GBM") AML Monitoring and Testing Department ("M&T"), Global AML,...testing or audit AML experience in a regulatory, compliance , or quality assurance capacity within a financial institution… more
- TD Bank (New York, NY)
- …**Job Description:** This Compliance Officer is a key member of the TDS US Compliance Monitoring and Testing Team and Core Compliance Group. The ... Compliance program as needed. **Depth & Scope:** ** Compliance Monitoring and Testing ** +...judgment and ability to closely partner with and advise senior and line managers and other stakeholders on regulatory… more
- TD Bank (New York, NY)
- …will manage ongoing Compliance risk coverage planning that will support the Compliance Monitoring & Testing (M&T) program. Additionally, this role will ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $140,000 - $185,000 USD TD is...+ Support the development and maintenance of the Firm's Monitoring and Testing Coverage Plan, which includes… more
- TD Bank (New York, NY)
- …in the inspection process and track issues to closure. + Assist the Compliance Testing Team, as needed, on monitoring and testing engagements. + Work ... details for this role. **Job Description:** **Preferred Qualifications:** This Senior Compliance Officer is a key member...a registered US broker dealer or regulator, Branch Inspections testing experience is a plus. + Strong Knowledge of… more
- Citigroup (New York, NY)
- …Knowledge of key Compliance processes- Regulatory Management, Risk Assessment, Monitoring and Testing + Awareness of regulatory requirements including local ... **Job Description** Serves as a Senior Compliance Risk officer for Independent...and processes established within the risk governance framework. + Monitoring adherence to Citi's Compliance Risk Policies… more
- Scotiabank (New York, NY)
- …escalate compliance issues and execute action plans for Internal Audit and Compliance Testing findings assigned to Compliance to adequately address ... Senior Manager, Markets Compliance Officer **Requisition...and evaluate the impact of controls to address ongoing compliance . + Participate in the review of monitoring… more
- SMBC (New York, NY)
- …a central BCO function responsible for overall development and execution of 1st line control testing and monitoring program. The BCO Control Testing and ... role will provide support in establishment of control monitoring routines and conduct control testing to...Markets and Sales and Trading risk areas to ensure compliance with internal policies and applicable rules, laws and… more
- M&T Bank (New York, NY)
- …of the CRM Program and related initiatives: Requirements & Standards Documentation, Compliance Monitoring Activities, Compliance Control Management, ... design a plan for timely and effective resolution of complex issues identified through monitoring and testing . + May interact with State and Federal Regulatory… more
- American Express (New York, NY)
- …and Compliance colleagues, General Counsel Office, Control Management, Independent Compliance Testing , Privacy, Internal Audit Group) + Review documentation ... will you make an impact in this role?** Provide compliance guidance to Credit and Fraud Risk (CFR) on...consistent with regulatory expectations. + Conduct ongoing risk assessment, monitoring and reporting activities to keep business informed of… more
- Mizuho Corporate Bank (New York, NY)
- Join the Mizuho team in Cyber Defense, Monitoring & Incident Management! Major Duties & Responsibilities: In this role you will report to the Head of Cyber Defense, ... (MAS). You will be responsible for managing the broader Monitoring & Incident Management activities and their various responsibilities....IT departments to address the event and escalating to senior members of the team as necessary. + Operational… more
- Citigroup (New York, NY)
- …reviewing and challenging existing frameworks and metrics to ensure robust monitoring and management of concentration risks. Additionally, the candidate should have ... strategy + Stakeholder Engagement: Engage with key stakeholders, including senior management, to communicate findings, propose improvements, and support… more
- Mizuho Corporate Bank (New York, NY)
- Team Head of AML/Sanctions compliance testing reviews and monitoring for Americas Region. PRINCIPAL DUTIES AND RESPONSIBILITIES:Manage multiple testing ... 2nd Line of Defense.Serve as a head of AML/Sanctions compliance testing team, responsible for AML/Sanctions and...to maintain a solid foundation of applicable regulatory framework.Conduct monitoring on Fin Crime Compliance items requested… more
- US Bank (New York, NY)
- …of a forward looking 12-18-month audit plan. Also includes performing continuous monitoring activities (working closely with senior management and risk ... excel at-all from Day One. **Job Description** The Corporate Audit Services Senior Audit Manager supports internal audit leadership, in providing the Audit Committee… more
- City National Bank (New York, NY)
- …* Coordinate 2LOD Review & Challenge interactions with LOB, engage with 2LOD Compliance Testing (including RBC) to provide sufficient guidance and support during ... *BUSINESS CONTROLS ANALYST SENIOR - VENDORS AND APPLICATIONS* WHAT IS THE OPPORTUNITY?...detective controls relating to Entertainment Banking activities (focus on Compliance -related controls) * Coordinate with 1st LOD Testing… more
- Bank of America (New York, NY)
- …+ Written Communications + Issue Management + Monitoring , Surveillance, and Testing + Regulatory Compliance + Technical Documentation + Trading Strategy ... Global Markets Senior Risk Manager New York, New York **Job...Oversees development of market risk coverage plans, execution of monitoring , testing and risk assessments, and market… more
- Scotiabank (New York, NY)
- Senior Manager, US Finance & Regulatory Reporting - Audit **Requisition ID:** 208343 **Salary Range:** 110,700.00 - 211,800.00 _Please note that the Salary Range ... together to drive ambition for every future! **Purpose** The Senior Manager, US Finance & Regulatory Reporting will lead...and external issue validation as well as audit continuous monitoring activities. **What You'll Do** + Develop a strategy… more
- Wells Fargo (New York, NY)
- **About this role:** Wells Fargo is seeking a Senior Quality Engineer/Test Automation Engineer to ensure the highest level of quality, compliance , and ... systems, and financial products within our Consumer Technology group. As a Senior Quality Engineer, you will be responsible for designing, implementing, and… more