- TD Bank (New York, NY)
- …professional judgment regarding responsiveness and appropriateness.** **In this position, the Compliance Audit & Exam Specialist will assist the team in ... Department, the US CCO and the Compliance Executive Team** **The Audit and Exam Management team of US Compliance Operations and Governance manages… more
- TD Bank (New York, NY)
- …Skills:** + Interpersonal skills, presenting/ reporting for senior management audiences, Audit or regulatory exam experience a plus. **Customer ... Financial Crime Risk Management **Job Description:** The Strategic Support Specialist role is part of a US based team...responding to periodic exams/audits by regulatory bodies and Internal Audit , to determine level of BSA/FCRM compliance … more
- SMBC (White Plains, NY)
- …conducted in accordance with company standards." **Role Objectives: Delivery** Manages exam first day letter request process and overall coordination and ... communication for execution of exam . Preparing documentation requested by various auditors and regulators, and providing to key stakeholders for sign off.… more
- Truist (Greenwich, CT)
- …+ Maintain appropriate legal, operating and regulatory controls to manage risk and compliance . Works within the existing audit , compliance and regulatory ... retention and prospect referrals. This includes effectively executing on the specialist delivery model utilizing both centralized and regionalized partners to… more