- Fiserv (New York, NY)
- …recommendations and risk assessments in line with regulatory requirements. + Execute compliance monitoring and testing for various verticals. + Develop, ... businesses, and cryptocurrency. This role provides strategic guidance, executes compliance monitoring and testing , and... regulatory compliance . + Experience with compliance monitoring and testing execution.… 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,...environment, standards, and regulations.** + **Knowledge and experience within compliance or audit, legal and regulatory environment,… more
- 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 ... of the Core Compliance program as needed. Compliance Monitoring and Testing +...to mid- range planning (eg 6-12 months) + Manages regulatory reviews including inquiries, audits, and exams **Education &… 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 ... Compliance program as needed. **Depth & Scope:** Compliance Monitoring and Testing +...across the firm + Contribute, as needed, to annual compliance training requirements and regulatory change impact… more
- TD Bank (New York, NY)
- …Assessment, regulatory controls management, Compliance Issue Management, Compliance Monitoring & Testing , Program Effectiveness Assessments, ... for the Company and supports the development, implementation, and maintenance of a regulatory compliance program through compliance activities across various… more
- Citigroup (Queens, NY)
- Finance Quality Assurance, Testing and Validation (QATV), within the Finance Transformation organization, independently assess in-scope regulatory and management ... report production processes for completeness, accuracy and conformance to regulatory requirements and adherence with relevant Policies, Standards, and Procedures… more
- TD Bank (New York, NY)
- … requirements and assists in implementing compliance initiatives to help manage regulatory risk. ** Compliance Monitoring & Compliance Oversight** + ... Assist with developing and overseeing the Compliance Monitoring program. + Collaborate with colleagues...MIS reporting for ongoing tracking and evaluation for both Monitoring and Oversight of the first line testing… more
- KeyBank (Amherst, NY)
- …ongoing compliance with applicable laws and regulations through the execution of compliance monitoring and testing across Key's Wealth Management and ... and continuous monitoring to evaluate Key's compliance with regulatory requirements. Individuals work both... partners in designing and executing compliance testing , special projects, and ongoing monitoring . +… more
- TD Bank (New York, NY)
- …and comprehensive approach to managing regulatory compliance risk. This Director - Compliance Testing Team Lead role is a newly created role on the Core ... for this role. **Job Description:** TD has enhanced its Regulatory Compliance Management Framework (RCM) and is...Test Plan. + Work closely with the Head of Compliance Monitoring and Testing and… more
- KeyBank (Amherst, NY)
- …ongoing compliance with applicable laws and regulations through the execution of compliance monitoring and testing across Key's lines of business, ... execution of wealth management testing and continuous monitoring to evaluate Key's compliance with ... and continuous monitoring to evaluate Key's compliance with regulatory requirements and expectations. Individuals… more