- 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 ... also support other aspects of the Core Compliance program as needed. Compliance Monitoring and Testing + Develop and design annual and cycle-based … 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 ... aspects of the Core Compliance program as needed. **Depth & Scope:** Compliance Monitoring and Testing + Assist with developing and executing the annual … more
- TD Bank (New York, NY)
- …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 (New York, NY)
- …execution of the annual Compliance Test Plan. + Work closely with the Head of Compliance Monitoring and Testing and the other Compliance Testing ... as manage a team of Compliance Testers as part of the wider Monitoring and Testing Team. The Director - Compliance Testing Team Lead oversees/leads a… more
- BlackRock (New York, NY)
- …allocation, fees and expenses, conflicts) and contributing to the enhancement of compliance testing and monitoring protocols. The successful candidate ... + Maintain legacy GIP global compliance program pending integration, including: testing and monitoring program, regulatory filings (including Forms ADV and… 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 ... Enterprise Compliance Risk Assessment Framework + Monitors that assessments ( monitoring , risk assessment etc.) are completed and communicated in a continuous and… more
- Carrington (Albany, NY)
- …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
- KeyBank (Buffalo, NY)
- …ongoing compliance with applicable laws and regulations through the execution of compliance monitoring and testing across Key's lines of business, ... Job** As part of Key's second line of defense Compliance Risk Management function, the Risk Evaluation and Assurance...Analytics, serves in the critical role of execution of testing and monitoring through the development of… more
- Trustco Bank (Schenectady, NY)
- …the compliance risk assessment process and the completion of routine compliance control testing and monitoring . **ESSENTIAL DUTIES AND RESPONSIBILITIES** ... of data for reporting results of the effectiveness of the compliance monitoring program. . Review existing policies and procedures taking into consideration… more
- Citigroup (Getzville, NY)
- …and business level compliance risk + assessments which in turn drive our compliance monitoring and testing activities. + Assisting in the design, ... a manner consistent with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors and providing day-to-day Compliance… more