- Carrington (Albany, NY)
- …provisioning documentation for various audit and exam documentation. Also responsible for compliance testing and monitoring compliance matters. Perform all ... to respond to regulatory compliance audit/exams + Perform assigned compliance testing as assigned and promptly escalate compliance concerns. + Create… more
- KeyBank (NY)
- … compliance with applicable laws and regulations through the execution of compliance monitoring and testing across Key's lines of business, products, and ... Job** As part of Key's second line of defense Compliance Risk Management function, the Risk Evaluation and Assurance...In this role, the Sr. Data Analyst - BSA/AML/Fraud Testing and Analytics, serves in the critical role of… 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 ... Ohio **About the Job** As part of Key's second-line-of-defense Compliance Risk Management function, the Risk Evaluation and Assurance...the Sr. Data Analyst - Wealth Management and Trust Testing and Analytics, serves in the critical role of… more
- Robert Half Finance & Accounting (New York, NY)
- …of FINRA Regulations/Filings, policies/procedures, personal trading review/Personal Account Dealings, compliance testing and AML/KYC. Series 7 FINRA license ... Knowledge of FINRA Regulations/Filings, policies/procedures, personal trading review/Personal Account Dealings, compliance testing and AML/KYC + Series 7 FINRA… more
- Heritage Financial Credit Union (Middletown, NY)
- … Compliance . + Monitor various indicators of risk - QC results, Compliance Testing results, complaints, risk assessment results, etc. to identify weaknesses ... Senior Lending Compliance Analyst - Remote (Onsite as Needed) Fully...Compliance to develop the Credit Union's annual departmental testing and review plan with a strong focus on… more
- Ultralife Corporation (Newark, NY)
- … compliance and quality standards. + Be the subject matter expert on compliance requirements and testing best practices in customer meetings + Mentor and ... provide guidance to junior test engineers on testing methodologies, tools, and compliance standards. + Continuous Improvement: + Stay up to date with industry… more
- JPMorgan Chase (New York, NY)
- …execute on a broad book of work including creation and oversight of compliance testing requirements. **Job Responsibilities** + Advise the JPMWM business on ... to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan...customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging… more
- TD Bank (New York, NY)
- …limited to, customer identification and due diligence, enhanced due diligence, training and compliance testing + Delivers relevant subject matter expertise and ... more specific details for this role. **Line of Business:** Compliance **Job Description:** **Why Work with Us?** At TD...Description:** **Why Work with Us?** At TD Bank US Compliance , we're on a mission to build a more… more
- TD Bank (New York, NY)
- …with regulatory expectations.** + **Participate in regulatory reviews, internal audits, and compliance testing as needed.** The above details are specific to ... more specific details for this role. **Line of Business:** Compliance **Job Description:** **Why Work with Us?** At TD...Description:** **Why Work with Us?** At TD Bank US Compliance , we're on a mission to build a more… more
- TD Bank (New York, NY)
- …Unfair, Deceptive, or Abusive Acts or Practices (UDAAP) regulations + Experience with compliance testing and monitoring frameworks + Exposure to regulatory exams ... can provide you more specific details for this role. **Line of Business:** Compliance **Job Description:** The Compliance Business Oversight Manager - Marketing… more