- 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
- SMBC (Jersey City, NJ)
- … Department Americas Division ("CPAD") is seeking a Vice President of BSA/AML Compliance Monitoring and Testing . The Vice President will principally ... deliverables. + Serve as the examiner-in-charge responsible for all facets of compliance monitoring and testing engagements including, but not limited… more
- City of New York (New York, NY)
- …for requesting and testing expenditures, supporting documents and track monitoring and compliance issues from identification to resolution. - Design ... Job Title: One (1) Assistant Analyst / Analyst / Senior Analyst Control Code: BAW-25-05 Summary: The Mayor's Office...implement compliance strategies. - Assist in planning compliance monitoring reviews and set up management… more
- Citigroup (Jersey City, NJ)
- Serves as a senior compliance risk analyst for Independent Compliance Risk Management (ICRM)'s Compliance Testing team responsible for assessing ... Plan. + Performs compliance controls testing , transactional testing , or compliance controls monitoring activities based on the pre-defined testing… more
- TD Bank (New York, NY)
- …process for development of department monitoring plan and participates in routine monitoring plan meetings. The Senior Compliance Group Manager supports ... outlined in the general summary below. **Job Summary:** The Senior Compliance Group Manager oversees assigned ...review of trend analyses of RIMS, Implementation, and self monitoring reports for assigned teams to ensure department standards… more
- Scotiabank (New York, NY)
- …reporting metrics for the Compliance pillars, including risk assessment, monitoring , and testing , issues management, regulatory change management, regulatory ... program to Senior management and escalate any material matters to senior compliance officers and senior management as appropriate. + Maintain an… 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
- Capital One (New York, NY)
- …reflect actual practice and address regulatory requirements + Assist in designing second line compliance monitoring and testing + Advise CBD business leaders ... 299 Park Avenue (22957), United States of America, New York, New York Compliance Advisor Senior Manager The Compliance Advisor Senior Manager will report… 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
- 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
- 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
- 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
- Actalent (White Plains, NY)
- … (eg, US EPA visual opacity (Method 9) testing ). + Prepare NOx monitoring and compliance plans, recommend equipment or plant modifications to meet state and ... such as AERMOD. + Oversee facility environmental regulatory audits (eg, boiler efficiency testing , cooling tower compliance , stack testing ) and emissions… 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
- Sunrise Senior Living (New York, NY)
- **_Sunrise Senior Living was again certified as a Great Place to Work(R) by Activated Insights. This is the 7th time Sunrise has received this top culture and ... for oversight and implementation of all Care programs, regulatory compliance , recruiting, and performance management. **RESPONSIBILITIES & QUALIFICATIONS** **Responsibilities:**… 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
- KPMG (New York, NY)
- … compliance program (for example, performing internal audits or compliance testing reviews, remediating identified deficiencies) preferred; strong involvement ... **Business Title:** Senior Associate, Financial Crimes Analytics **Requisition Number:** 119351...+ Provide support for financial services or financial crimes compliance initiatives at the direction of the national financial… more
- City National Bank (New York, NY)
- …for ongoing monitoring , identification and reporting of risk findings to senior management and remedial corrective actions through risk and control testing ... * SENIOR BUSINESS CONTROL MANAGER - CAPITAL MARKETS* WHAT...through 1st, 2nd, 3rd LOD and external regulatory examinations, monitoring and testing . * Analyze findings and… more
- Walmart (Hoboken, NJ)
- …meets legal, ethical, and company standards. + Conduct regular testing and monitoring to identify and mitigate compliance risks, and to ensure ad policy ... Walmart Connect Compliance and Ethics team in collaborating with Walmart Connect senior leadership to integrate first line of compliance into the company's… 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