- Scotiabank (New York, NY)
- Compliance Testing Senior Manager, Swap Dealer and Derivatives Compliance **Requisition ID:** 220508 **Salary Range:** 117,400.00 - 224,700.00 _Please note ... for every future! **Purpose** Contributes to the overall success of GBM&T Compliance Testing team and Swap Dealer and Derivatives Compliance ensuring… more
- TD Bank (New York, NY)
- …culture and comprehensive approach to managing regulatory compliance risk. This Director - Compliance Testing Team Lead role is a newly created role on the ... wider Monitoring and Testing Team. The Director - Compliance Testing Team Lead oversees/leads a team(s) of specialists/professionals providing advice,… more
- American Express (New York, NY)
- …together, you will help us define the future of American Express. The US Independent Compliance Testing (ICT) team performs 2nd line of defense testing ... and drafting reports. A successful candidate will have audit or compliance testing experience within a large bank and experience conducting control design… more
- TD Bank (New York, NY)
- …Compliance Monitoring and Testing + Develop and design annual and cycle-based Compliance Testing and Monitoring plans + Execute the annual Compliance ... This Compliance Officer is a key member of the TDS US Compliance Monitoring and Testing Team and Core Compliance Group. The Monitoring and Testing … more
- TD Bank (New York, NY)
- … Compliance Monitoring and Testing team works directly with the Bank's Compliance Units, Compliance Testing , and Oversight Functions to develop and ... standards. management areas, broader organization, and enterprise as appropriate. **U.S. Compliance Monitoring and Testing provides governance, oversight, and… more
- TD Bank (New York, NY)
- … Monitoring and Testing + Assist with developing and executing the annual Compliance Testing and Monitoring plan + Determine scope of reviews; build detailed ... Senior Compliance Officer is a key member of the TDS US Compliance Monitoring and Testing Team and Core Compliance Group. The Monitoring and Testing … more
- KeyBank (Amherst, NY)
- …of business management and compliance partners in designing and executing compliance testing , special projects, and ongoing monitoring. + Demonstrate subject ... matter expertise in compliance testing and working knowledge of applicable wealth management and trust related regulations and laws, industry trends, emerging… more
- KeyBank (Buffalo, NY)
- …ongoing compliance with applicable laws and regulations through the execution of compliance and operational risk monitoring and testing across Key's lines of ... Job** As part of Key's second line of defense Compliance Risk Management function, the Risk Evaluation and Assurance...assist in the design and execution of operational risk testing and continuous monitoring. Individuals work both autonomously on… more
- KeyBank (Amherst, NY)
- … compliance with applicable laws and regulations through the execution of compliance monitoring and testing across Key's lines of business, products, and ... in this role assist in the design and execution of wealth management testing and continuous monitoring to evaluate Key's compliance with regulatory requirements… more
- KeyBank (NY)
- …strong focus on risks and controls. + Knowledge of internal controls, compliance testing and monitoring processes (including analytics), and applicable ... Ohio 44144 **Job Summary** As part of Key's second line of defense Compliance Risk Management function, the Complaint's Management Compliance Officer is… more