- Citigroup (Jersey City, NJ)
- The Wealth Monitoring and Testing ... control effectiveness. Accountable for timely and complete controls testing results and advice regarding the ... This role will ultimately report to the Head of Wealth Monitoring and Testing . **Responsibilities:**...of new controls and changes to existing controls within the Manager Control Assessment. +… more
- Citigroup (New York, NY)
- …reporting, and insight sharing related to the above scope of controls monitoring / testing . The Wealth Client Segments Control Testing Leader is a ... The Wealth Client Segments Control Testing... controls monitoring - ie, operational controls performance assurance/ testing - which includes design,… more
- Citigroup (Jersey City, NJ)
- The Wealth Monitoring and Testing is responsible for the testing of controls that are designed and owned by Citi's Wealth departments. The ... monitoring , with an excellent level of understanding of control testing and who closely follows latest...covered business functions. Responsible for end-to-end control testing for a specific business/segment - ie controls… more
- Citigroup (Queens, NY)
- The Wealth Monitoring and Testing is responsible for the testing of controls that are designed and owned by Citi's Wealth departments. The ... execution-oriented leadership role accountable for end-to-end control testing for a specific business/segment - ie controls...This role will ultimately report to the Head of Wealth Monitoring and Testing . **Responsibilities:**… more
- Citigroup (New York, NY)
- The Wealth Client Segments Control Testing Utility is responsible for the testing of controls designed and owned by the Citi's Wealth Segments ... position reports to the Wealth Client Segments Control Testing Head within the Control...individual contributor position accountable for driving controls testing performance and improvement initiatives. The Wealth … more
- Citigroup (New York, NY)
- … monitoring and associated administration associated with Citi Global Wealth lending activities. WCM coordinates with the Institutional Credit Management function ... Citi Global Wealth (CGW) is a Division of Citi focused...analysis specialized on CRE, underwriting, proactive portfolio management and monitoring , strong risk and controls environment, client… more
- Morgan Stanley (Purchase, NY)
- …1stline of defense and is responsible for overseeing the operational risk and control framework across the Wealth Management business. This team partners with ... key stakeholders throughout the organization to execute independent risk monitoring functions, support process and control improvement, provide tactical and… more
- CIBC (New York, NY)
- …effective processes are in place for the identification, management, measurement, monitoring and control of operational, reputation and legal, strategic, ... to the US Capital Markets, US Commercial Banking and Wealth Management lines of business. US Compliance supports these...**Supervising** a Compliance staff to ensure that the Compliance monitoring and testing program is performed in… more
- TD Bank (New York, NY)
- …Oversight oversees the team and leads 2nd-line oversight activities and monitoring of the AML/ATF/Sanctions/ABAC compliance programs for covered TD businesses and ... matters and escalations. This role will support the US Wealth Management group and serves as a crucial safeguard...requirements and articulates the impact to their processes and controls + Contributes to the development and implementation of… more
- US Bank (New York, NY)
- …adequacy; and developing audit programs which provide sufficient guidance for testing control performance effectiveness and making evaluations which effectively ... Includes identifying and analyzing business processes, key risks and critical controls ; interviewing auditees; determining audit scope; evaluating control design… more
- City National Bank (New York, NY)
- **MANAGER OF AUDIT II- WEALTH MANAGEMENT** **WHAT IS THE OPPORTUNITY?** The Audit Manager II position is a leadership role as an auditor-in-charge to guide a team of ... identify data analytic opportunities, execute audit programs, analyze results of testing performed, and effectively communicate audit results to the Audit Senior… more
- Scotiabank (New York, NY)
- … governance framework is preferred including understanding of Supervision, Surveillance & Monitoring , Trade Floor Supervision, Risk and Control Library etc. ... systems and knowledge. + Lead and assist in design and operating effectiveness testing to verify adequacy of controls for managing operations risks in… more
- Deloitte (New York, NY)
- …data mapping, management, migration, or visualization / analytics; system configuration and testing ; status monitoring and issue resolution + Experience in ... or corporate banking, investment banking or capital markets, investment management, wealth management, trust company, insurance provider, or related service provider… more
- Deloitte (New York, NY)
- …improvement, operating model design and implementation, risk assessment and management, and controls testing engagements across three lines of defense + Use ... cashflows + Demonstrate understanding of business processes, regulatory requirements, internal control risk management, process, data and technology controls and… more
- Morgan Stanley (Purchase, NY)
- …for closure verification of Issues and related action plans arising from regulatory exam/ monitoring , Audit exam, and GFC Testing findings, as well as ... conducts its business through three principal business segments-Institutional Securities, Wealth Management (WM), and Asset Management. Morgan Stanley provides… more
- Scotiabank (New York, NY)
- …the requirements of US compliance procedures. + Coordinate with Internal Control on compliance risk assessments, independently conduct the effective challenge of ... sales and trading businesses, and evaluate the impact of controls to address ongoing compliance. + Participate in the...address ongoing compliance. + Participate in the review of monitoring and surveillance routines and respond to alerts or… more
- Wells Fargo (New York, NY)
- …coverage program designed to proactively and systematically identify, assess, measure, monitor, control , and report on significant fiduciary risks to Wells Fargo and ... primary business/enterprise groups in scope for this oversight program include Wealth & Investment Management, Wholesale Banking and Human Resources. The Director… more
- Scotiabank (New York, NY)
- …the daily aggregation and limit monitoring report, investigating errors and monitoring limit compliance, testing and validating enhancements to the US ... as assigned. Report development activities include creating, designing, developing and testing credit risk portfolio reports and tools for presentation to Scotiabank… more
- Neuberger Berman (New York, NY)
- …audits + Work closely with Data Analysts to create and utilize automated testing , automated risk assessments and monitoring dashboards + Draft audit announcement ... funds, Mutual Funds, Private Funds, separately managed institutional accounts and wealth management services. Investment management strategies and products cover a… more
- Morgan Stanley (Purchase, NY)
- …including reviewing, analyzing and identifying privacy incidents * monitoring & testing of privacy regulatory requirements and controls * special projects ... market positions in each of its business segments: Institutional Securities, Wealth Management and Investment Management. Through its subsidiaries and affiliates,… more