- TD Bank (New York, NY)
- …(COF) including.** + ** Compliance -wide frameworks, guidelines and standards for testing , monitoring , risk assessment, reporting and other activities** + ... process, regulatory compliance policies, procedures, training development and corporate compliance programs. Supports the business in identifying, assessing,… more
- CIBC (New York, NY)
- …To learn more about CIBC, please visit CIBC.com (https://www.cibc.com/en/about-cibc.html) The Corporate Function Compliance (CFC) Officer will assist in the ... CIBC US. The CFC Officer will support the US Corporate Function Compliance Director to ensure regulatory...Testing and Deficiency Management: Ensure awareness of regulatory compliance deficiencies and control testing results impacting… more
- TD Bank (New York, NY)
- …(COF) including;** + ** Compliance -wide frameworks, guidelines and standards for testing , monitoring , risk assessment, reporting and other activities** + ... risk and conduct risk within the US Wealth businesses;** + **Independently testing , monitoring and assessing the adequacy of, adherence to and effectiveness… more
- KeyBank (Buffalo, NY)
- …to various lines of business. Additionally, the Compliance Officer will conduct compliance monitoring and testing to ensure compliance risks ... necessary changes. + Assist with internal and external regulatory compliance exams/audits. + Assist with corporate policy...Proven ability to work in a team environment. + Compliance monitoring and testing skills.… more
- KeyBank (NY)
- …risk taking activities and decision. The role may also support issue validation, corporate compliance projects and programs, and contribute to initiatives that ... with the Compliance Director. + Design and execute risk-based compliance monitoring reviews across fiduciary products, services, and processes. +… more
- TD Bank (New York, NY)
- …by assigned team + Oversees the planning, creation and maintenance of Corporate compliance database(s) to collect, manage and report information required ... and deliver specialized/ad hoc training, as required. + Support testing engagements from Internal Audit, Compliance Quality...for assigned line of business through the development and monitoring of compliance programs within the larger… more
- TD Bank (New York, NY)
- …advise senior management on potential impacts and required actions** + **Conduct periodic compliance testing , surveillance, and risk assessments in line with the ... adherence and risk management within our bank. This role oversees compliance monitoring , reporting, and governance processes, collaborating with cross-functional… more
- TD Bank (New York, NY)
- …CRA, UDAAP, GLBA; familiarity with securities regulations a plus. + Experience in compliance monitoring , testing , and control mapping. + Hands-on experience ... business reports, and key risk indicators to identify trends, gaps, and potential compliance risks. + Review and validate first-line testing to ensure gaps… more
- JPMorgan Chase (New York, NY)
- …+ Experience using Python, AI, and other technology resources to design and implement compliance monitoring and testing + MBA or professional certification ... to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan...harmonizing policy and practices across regions + Conduct targeted monitoring activities and identify processes that could be automated… more
- Citigroup (New York, NY)
- …function, with exposure to Compliance programs such as Risk Assessments, Monitoring & Testing , Compliance Risk Appetite, Escalations, Regulation ... + Deliver audit reports, Internal Audit and Regulatory issue validation and business monitoring and governance committee reports + Lead reviews for all types of… more