- PNC (Pittsburgh, PA)
- …business leaders, customers, regulators, and auditors. + Oversees the update of Compliance policies and procedures as needed. Ensures Compliance Manuals, Front ... AML and Sanctions Program monitoring reviews. + Reviews AML and Sanctions compliance reports and related customer risk profiles. Identifies issues, escalates through… more
- Vanguard (Malvern, PA)
- …to building a robust and modern supervisory framework that ensures compliance , accountability, and scalable oversight across business channels. This leader will ... end to end incentive compensation oversight, ensuring programs promote compliance behavior and align with enterprise conduct standards. +...and ability to lead through complexity and change. + FINRA SIE, Series 7, 63 and 24 licenses required.… more
- PNC (Pittsburgh, PA)
- …to facilitate understanding of applicable transactions. * Work closely with the Tax Compliance group to ensure proper reporting and integration of the tax provision ... and compliance processes. * Direct coordination and interaction with internal...2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain… more
- PNC (Pittsburgh, PA)
- …- Identify and design test data sets to meet functional, non-function, and compliance needs - Support analysis, assessment, and onboarding of applications into the ... and synthetic data generation techniques - Strong understanding of regulatory and compliance frameworks (GDPR, HIPAA, FFIEC, SOX) - Familiarity with Python is… more
- PNC (Pittsburgh, PA)
- …(eg, MQ Series, Kafka), and real-time API interactions. -Documentation & Compliance -Maintain comprehensive QA documentation to support audit and compliance ... and reports on reviews and tests of software systems and products to verify compliance with applicable specifications and standards. + Leads the effort to work with… more
- PNC (Pittsburgh, PA)
- …will be based in Pittsburgh, PA or Philadelphia, PA. This risk and compliance oriented role is responsible for the fiduciary management of existing, complex ... - must have current or prior fiduciary experience - compliance and risk experience **Job Description** + Engages in...2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain… more
- PNC (Pittsburgh, PA)
- …and coaching to audit management and team members. COMPETENCIES Audit And Compliance Function - Knowledge of and ability to manage the major responsibilities, ... accountabilities, and organization of the Audit and Compliance (A&C) function or department. Auditing - Knowledge of organization's Internal Audit processes,… more
- JPMorgan Chase (Media, PA)
- …within established risk parameters/tolerances and meet internal/external risk and compliance obligations, including completion of required training. + High school ... degree, GED, or foreign equivalent. + The Securities Industry Essential (SIE) exam, FINRA Series 6, state registration (including 63 if required), and Life licenses… more
- PNC (Pittsburgh, PA)
- …analysis, risk assessment, recovery planning and recovery testing. * Ensures the compliance of each aspect of all programs the Enterprise Event Management team ... analysis, risk assessment, recovery planning and recovery testing. + Ensures the compliance of each aspect of business continuity. Partners with the business in… more
- JPMorgan Chase (Doylestown, PA)
- …if you are not currently registered, the Securities Industry Essential (SIE) exam, FINRA Series 6/7, state registration (including 63 or 66 if required) and Life ... completed within 180 days of starting the role + Compliance with Dodd Frank/Truth in Lending Act* + High...continued employment in this position would be contingent upon compliance with Truth in Lending Act/Dodd Frank Loan Originator… more