- TD Bank (New York, NY)
- …in responding to periodic exams/audits by regulatory bodies and Internal Audit , to determine level of BSA/FCRM compliance **Employee/Team Accountabilities:** ... Crime Risk Management **Job Description:** The Financial Crime Risk Specialist role develops and maintains TD's AML/ATF/Sanctions/ABAC programs, including… more
- TD Bank (New York, NY)
- …for testing, monitoring, risk assessment, reporting and other activities + Internal Audit , regulatory exam , and ongoing supervision management, finding tracking, ... of compliance professionals** + **Certified Fiduciary & Investment Risk Specialist (CFIRS) or Certified Trust and Fiduciary Advisor (CTFA) or relevant subject… more
- Bank of America (New York, NY)
- …requirements and guide clients as needed to comply + Represent Outreach on exam / audit /regulatory management from a FLU perspective, where needed + Adhere to ... the client experience. **The Role** The KYC Client Outreach Specialist (COS) teams serve as the Front Line Unit...Oversees and resolves the risks and impacts of non compliance with KYC processes, including restrictions, closures and associated… more
- Truist (New York, NY)
- …+ 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