- SMBC (Jersey City, NJ)
- …SMBC's Compliance Department Americas Division ("CPAD") is seeking a Compliance Monitoring and Testing Associate. The Associate-level position ... testing engagements is essential. **Role Objectives** + Supporting examiner-in-charge of Compliance Monitoring and Testing engagements. + Assists in the… more
- SMBC (Jersey City, NJ)
- …SMBC's Compliance Department Americas Division is seeking a Vice President of the Compliance Monitoring and Testing team to perform testing of ... for M&T Program + Serves as the examiner-in-charge responsible for all facets of compliance monitoring and testing engagements + Assists in the development… more
- TD Bank (New York, NY)
- …**Job Description:** This Compliance Officer is a key member of the TDS US Compliance Monitoring and Testing Team and Core Compliance Group. The ... Compliance program as needed. **Depth & Scope:** ** Compliance Monitoring and Testing ** +...wide range of capital markets products and services to corporate , government, and institutional clients who choose us for… more
- 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 ... Compliance program as needed. **Depth & Scope:** Compliance Monitoring and Testing +...wide range of capital markets products and services to corporate , government, and institutional clients who choose us for… more
- SMBC (Jersey City, NJ)
- …SMBC's Compliance Department Americas Division ("CPAD") is seeking an Analyst for Compliance Monitoring and Testing . The Analyst is responsible for ... range of commercial and investment banking services to its corporate , institutional, and municipal clients. It connects a diverse...+ Serves as a tester for all facets of compliance monitoring and testing engagements.… more
- Mizuho Corporate Bank (New York, NY)
- …MHBK's Internal Audit Division (IAD). Execute a robust audit program of Mizuho's corporate and compliance activities, with particular emphasis on Bank Secrecy ... planning, fieldwork, reporting and other administrative and management tasks pertaining to corporate and compliance areas of focus.Assist in the design,… more
- TD Bank (New York, NY)
- …will manage ongoing Compliance risk coverage planning that will support the Compliance Monitoring & Testing (M&T) program. Additionally, this role will ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $140,000 - $185,000 USD TD is...+ Support the development and maintenance of the Firm's Monitoring and Testing Coverage Plan, which includes… more
- NatWest Markets (Stamford, CT)
- Senior Monitoring and Testing Compliance Assurance Officer - Swap Dealer Stamford,United States Permanent Full Time \#R-00244248 Our people work differently ... proper operations of the department and the business._ Senior Monitoring and Testing Compliance Assurance...reviews to identify potential breaches of Regulatory Obligations and Corporate Compliance policies, as well as to… more
- SMBC (Jersey City, NJ)
- …SMBC's Compliance Department Americas Division is seeking a VP of Swap Dealer Compliance Monitoring & Testing (M&T). The VP is responsible for execution ... serve as a team member for M&T annual planning, monitoring and testing reviews. This role will...7+ years of swap dealer experience + Has a Compliance Testing , NFA or Internal Audit background… more
- Meta (New York, NY)
- …The role will support the development and ongoing oversight of a sustainable compliance monitoring & testing program strategy and governance structures ... candidate will possess and demonstrate knowledge and experience with compliance monitoring & testing concepts,... testing . The ideal candidate will also understand corporate compliance requirements (ie Financial Crimes … more
- Scotiabank (New York, NY)
- Senior Manager, US AML Monitoring and Testing **Requisition ID:** 215612 **Salary Range:** 117,400.00 - 224,700.00 _Please note that the Salary Range shown is a ... success of the Global Banking and Markets ("GBM") AML Monitoring and Testing Department ("M&T"), Global AML,...testing or audit AML experience in a regulatory, compliance , or quality assurance capacity within a financial institution… more
- Mizuho Corporate Bank (New York, NY)
- Join the Mizuho team in Cyber Defense, Monitoring & Incident Management! Major Duties & Responsibilities: In this role you will report to the Head of Cyber Defense, ... Services, LLC (MAS). You will be responsible for managing the broader Monitoring & Incident Management activities and their various responsibilities. You will work… more
- Mizuho Corporate Bank (New York, NY)
- Team Head of AML/Sanctions compliance testing reviews and monitoring for Americas Region. PRINCIPAL DUTIES AND RESPONSIBILITIES:Manage multiple testing ... 2nd Line of Defense.Serve as a head of AML/Sanctions compliance testing team, responsible for AML/Sanctions and...to maintain a solid foundation of applicable regulatory framework.Conduct monitoring on Fin Crime Compliance items requested… more
- Mizuho Corporate Bank (New York, NY)
- The Corporate Platform Engineering Lead will oversee the development, implementation, and continuous improvement of critical enterprise platforms. This role requires ... and economically. + Partner with production support to implement bank-standard monitoring , incident response, and disaster recovery processes and ensure the… more
- Mizuho Corporate Bank (New York, NY)
- …and developing and implementing compliance controls and programs such as: + Compliance testing , surveillance and monitoring + Drafting and implementing ... team + Collection and analysis of pertinent data across Compliance functions to support Compliance Monitoring...Acceptances, Risk and Controls Self Assessment, and Internal Control Testing + Support and execute ad hoc requests for… more
- SMBC (New York, NY)
- …a central BCO function responsible for overall development and execution of 1st line control testing and monitoring program. The BCO Control Testing and ... range of commercial and investment banking services to its corporate , institutional, and municipal clients. It connects a diverse... role will provide support in establishment of control monitoring routines and conduct control testing to… more
- MTA (Jamaica, NY)
- …of lead and asbestos assessment and abatement including issuing applicable permits and monitoring compliance with LIRR policies and procedures as well as federal ... with Claims and MTA Police monthly. Direct staff to ensure all departments are in compliance with FRA and Corporate Policy mandates. Direct staff to ensure they… more
- BMO Financial Group (New York, NY)
- …VP is expected to provide expertise, support, and resource to drive the new CM Monitoring and Testing (M&T) Framework with a focus on implementation of the ... is a leading, full-service financial services provider. We offer corporate and investment banking, treasury management, as well as...& Resilience_ _,_ _Capital Markets_ to drive the CM Monitoring and Testing mandate. **Key Roles &… more
- NatWest Markets (Stamford, CT)
- …and the business._ **Swap Dealer Testing VP (2LOD)** Reporting to the Senior Monitoring and Testing Compliance Assurance Officer this role is responsible ... be part of an effective Compliance Assurance testing program and will be responsible for monitoring...reviews to identify potential breaches of Regulatory Obligations and Corporate Compliance policies. This role will also… more
- Mizuho Corporate Bank (New York, NY)
- …an individual with a strong credit analysis background covering corporate borrowers across various industry segments (experience covering Telecommunications, ... review plan by conducting independent credit reviews to ensure compliance with Bank policies and procedures as well as...flow analysis. + Assess the sufficiency of credit risk monitoring programs, relevant performance covenants and monitoring … more