- 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
- 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
- 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
- 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
- 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
- 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
- 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
- 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
- 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
- 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