• Compliance Monitoring

    TD Bank (Fort Lauderdale, FL)
    …standards. management areas, broader organization, and enterprise as appropriate. **U.S. Compliance Monitoring and Testing provides governance, oversight, ... and support for central elements of the US Compliance Monitoring and Testing Program, including:** + Lead strategic planning efforts and support US … more
    TD Bank (07/26/25)
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  • Director- Compliance , US Independent…

    American Express (Sunrise, FL)
    …associated policies. This role is responsible for managing the day-to-day execution of Compliance Monitoring & Testing (M&T) reviews, preparing work papers, ... you will help us define the future of American Express. The US Independent Compliance Testing (ICT) team performs 2nd line of defense testing across American… more
    American Express (08/08/25)
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  • Compliance Independent Assessment Senior…

    Citigroup (Tampa, FL)
    …, and reporting activities. + Experience in planning, executing, and reporting on compliance testing or monitoring reviews and regulatory issue validation ... defense. The Compliance Independent Assessment Sr. Analyst performs risk-based testing and monitoring of Citi's compliance risks in order to assess the… more
    Citigroup (06/28/25)
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  • Controls Monitoring and Testing

    Truist (Orlando, FL)
    …of America) **Please review the following job description:** Responsible for executing testing and/or compliance monitoring indicators for assigned business ... risk programs, risks and controls. 4. Incorporate results of quality monitoring activities, 2nd line testing , SOX testing and complaints reporting in control… more
    Truist (07/31/25)
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  • REMOTE Loan Servicing Compliance Analyst, I

    Carrington (Jacksonville, FL)
    …the provisioning documentation for various audit and exam documentation. Also responsible for compliance testing and monitoring compliance matters. ... to respond to regulatory compliance audit/exams + Perform assigned compliance testing as assigned and promptly escalate compliance concerns. + Create… more
    Carrington (07/16/25)
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  • Sr. Manager Compliance , RJ Bank

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …others associates' work + Researching regulatory and compliance topics + Conducting compliance testing and monitoring + Developing compliance ... to regulatory requirements. + Ability to manage and perform risk-based compliance testing . + Ability to determine matters requiring escalation to RJ Bank… more
    Raymond James Financial, Inc. (08/08/25)
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  • Deputy to the US Head of Compliance

    TD Bank (Fort Lauderdale, FL)
    … Risk Assessment, regulatory controls management, Compliance Issue Management, Compliance Monitoring & Testing , Program Effectiveness Assessments, ... can provide you more specific details for this role. **Line of Business:** Compliance **Job Description:** **Department Overview:** **Why Work with Us?** At TD Bank… more
    TD Bank (08/08/25)
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  • Compliance Officer - Vice President

    Arena Investors LP (Jacksonville, FL)
    …policies and procedures; . Administration of firm (Investment Adviser and Broker-Dealer) annual compliance review ( testing and monitoring ); . Conflicts of ... expand the team through the addition of a senior Compliance Officer. In this role, this individual will work.... Support the CCO with FINRA broker-dealer requirements; . Monitoring of Client guidelines and restrictions; . Review of… more
    Arena Investors LP (05/13/25)
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  • Manager, Small Business Compliance Lending…

    American Express (Sunrise, FL)
    …the Third-Party Life Cycle Management. + Support regulatory examinations, internal audit reviews, Compliance monitoring and testing , and related efforts. + ... of the American Express Global Commercial Services (GCS) Line of Business Compliance Team (LOBCO), primarily responsible for oversight of US Small Business… more
    American Express (08/09/25)
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  • HR Risk & Controls - QA, Monitoring

    Citigroup (Tampa, FL)
    Individuals in Quality Assurance, Monitoring & Testing are responsible for the assessment of outcomes from activities and processes against conformance with ... post completion of an activity/process. This includes the development and execution of Monitoring and Testing for controls, such as control design assessment,… more
    Citigroup (08/09/25)
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