- Ankura (NY)
- …Conduct independent regulatory program reviews and Testing; + Drafting BSA/ AML compliance programs and developing training for FinTech's and broker-dealers. + ... Serve as Subject matter Expert in the fields of AML / BSA / OFAC, and Consumer protection; +...Model Risk Management such as data quality analysis, model validation , and tuning / optimization; + Build, enhance or… more
- Charles Schwab (Westlake, TX)
- …The Internal Audit Department (IAD) of The Charles Schwab Corporation provides independent and objective assessments to figure out whether all significant risks are ... oversight for Schwab's: (i) client-facing activities supporting retail investors and independent investment advisors on Schwab's platform and their clients; (ii)… more
- MUFG (Tampa, FL)
- …is responsible for executing assigned Global Financial Crimes IT audits and independent validation of business activities related to regulatory requirements. The ... Documentation should stand alone to enable re-performance. + Provide assistance in the validation and closure of internal and external (eg regulatory) GFC IT issues.… more