- TD Bank (New York, NY)
- …Qualifications:** This Senior Compliance Officer is a key member of the TDS US Compliance Monitoring and Testing Team and Core Compliance Group. The ... aspects of the Core Compliance program as needed. **Depth & Scope:** Compliance Monitoring and Testing + Assist with developing and executing the annual … more
- TD Bank (New York, NY)
- …**Job Description:** This VP, Compliance is a key member of the TDS US Compliance Monitoring & Testing (M&T) Team, responsible for working on the ... + Assist with the development, implementation and coordination of the Compliance Monitoring program, including evaluating program design elements, analyzing… more
- TD Bank (New York, NY)
- …This Senior Compliance Officer is a key member of the TDS US Compliance Monitoring & Testing (M&T) Team, responsible for working on developing, ... and coordinate with our Risk Owners to assist and show coverage alongside the Compliance testing and monitoring plan coverage of key risks and business units… more
- American Express (New York, NY)
- …and international Compliance program, including policies, issue management, and oversight of Compliance monitoring and testing . + Ensure Compliance ... compliance risks. + Support regulatory examinations, internal audit reviews, Compliance monitoring and testing , and related efforts. + Develop and retain… more
- SMBC (New York, NY)
- …+ Policies and Procedures Management + Compliance Training + Issues Management + Monitoring & Testing + Compliance Risk Assessment + Communications and ... portfolio of benefits to its employees. **Role Description** The SMBC Compliance Advisory Function resides within Compliance Department Americas Division… more
- Bank of America (New York, NY)
- …entity + Relevant certifications (eg, CAMS, CGSS, or similar) **Skills:** + Regulatory Compliance + Monitoring , Surveillance, and Testing + Critical Thinking ... & Decisioning + Issues Management & Resolution + Risk Identification & Assessment + Risk Monitoring & Testing + Products, Services & Acumen - Line of Business… more
- Mizuho Corporate Bank (New York, NY)
- …and industry standards (SEC, FINRA, GDPR, etc.) Key Outcomes: + Improved compliance monitoring and surveillance capabilities. + Streamlined compliance ... clear, actionable technical specifications. Lead the analysis and design of compliance technology solutions, including transaction monitoring and case… more
- Mizuho Corporate Bank (New York, NY)
- …Group. + Model Ownership: Maintain and update the models owned by the stress testing team to ensure compliance with Model Risk requirements. Qualifications: + ... Summary: The Americas Risk Management unit is responsible for monitoring and evaluating risks across a number of categories...highly skilled and experienced individual to join our Stress Testing and Capital Analysis team as a Director. The… more
- Mizuho Corporate Bank (New York, NY)
- …Group. + Model Ownership: Maintain and update the models owned by the stress testing team to ensure compliance with Model Risk requirements. Qualifications: + ... Summary: Americas Risk Management unit is responsible for monitoring and evaluating risks across a number of...highly skilled and experienced individual to join our Stress Testing and Capital Analysis team as a Vice President.… more
- TD Bank (New York, NY)
- …(COF) including.** + ** Compliance -wide frameworks, guidelines and standards for testing , monitoring , risk assessment, reporting and other activities** + ... Compliance programs (ie, risk assessments, 2nd line oversight of business monitoring and testing programs, new business initiatives), including frameworks,… more
- Bank of America (New York, NY)
- … monitoring systems. **Skills:** + Advisory + Monitoring , Surveillance, and Testing + Regulatory Compliance + Reporting + Risk Management + Critical ... Compliance & Operational Risk Manager - Americas Control...key role in assisting lines of business in implementing, monitoring , testing , and enforcing the Enterprise Information… more
- Bank of America (New York, NY)
- …+ Assist with the development of new and/or update existing Monitoring and Testing items for the Compliance and Operational Risk Program from a local and ... work. **Skills:** + Advisory + Monitoring , Surveillance, and Testing + Regulatory Compliance + Reporting + Risk Management + Critical Thinking + Influence… more
- TD Bank (New York, NY)
- …(COF) including;** + ** Compliance -wide frameworks, guidelines and standards for testing , monitoring , risk assessment, reporting and other activities** + ... risk and conduct risk within the US Wealth businesses;** + **Independently testing , monitoring and assessing the adequacy of, adherence to and effectiveness… more
- City National Bank (New York, NY)
- …Senior Compliance Officer, and Risk Assessment team with the evaluation of compliance testing program and processes. * Performs research on regulations and ... test results along with comparable line of business QA testing results. * Conduct meetings to discuss testing...other tracking reports as deemed necessary. * Conduct regulatory compliance monitoring activities as assigned and maintain… more
- City National Bank (New York, NY)
- * COMPLIANCE ANALYST* *WHAT IS THE OPPORTUNITY?* The Compliance Analyst will be responsible for monitoring , oversight and independent review and assessment of ... products, training, regulatory change management, risk assessments, issues management, and monitoring and reporting. * Compliance Risk Management Division* This… more
- Mizuho Corporate Bank (New York, NY)
- …deliverables associated with control testing including reviewing the approach, testing and reporting of issues related to compliance areas.In accordance ... Internal Audit Division (IAD). COVERAGE SUMMARYAssist in managing and supporting the Compliance audit team by overseeing the various parts of the audit process,… more
- Capital One (New York, NY)
- …procedures, and controls + Perform UDAAP validations and reviews + Active involvement with compliance testing and third party compliance + Maintain expert ... such as: new products, process development, development of controls and monitoring , remediation/corrective action of compliance breakdowns, and change in… more
- Bloomberg (New York, NY)
- … status reports, potential gaps and issues and maintain organized records of compliance documentation; * Contribute to testing and audit preparation, and ... Data Compliance Officer - 12 Month contract Location New...related assessments, assists with systems due diligence and transaction monitoring , and develops internal policies and procedures. **What's The… more
- American Express (New York, NY)
- …or second line of defense compliance function. + Familiarity with compliance testing - complaints, customer promises, customer risk rating, transaction ... environment **Key Responsibilities:** + Support the development and maintenance of compliance risk assessments and associated controls and testing aligned… more
- Ross Stores, Inc. (New York, NY)
- …management\. The position will also assist in developing, implementing, and monitoring compliance training, business investigations, legal research, project ... regulatory compliance \(e\.g\., Proposition 65, etc\.\), recalls, and product testing protocols\. Perform legal research and assist in driving desired results… more