- TD Bank (New York, NY)
- …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 +...judgment and ability to closely partner with and advise senior and line managers and other stakeholders on regulatory… 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,...and training exemption governance and reporting processes to the Compliance Senior Executive Team (and related … 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 +...judgment and ability to closely partner with and advise senior and line managers and other stakeholders on regulatory… more
- Citigroup (Queens, NY)
- …and reporting of LCR and NSFR balances and ensure completeness and accuracy of testing results to senior management. Lead Analyst Role and Responsibilities + ... Finance Quality Assurance, Testing and Validation (QATV), within the Finance Transformation...Enabling continuous improvement by partnering with workstream leads and senior stakeholders to proactively design solutions for identified weaknesses… more
- TD Bank (New York, NY)
- …can provide you more specific details for this role. **Job Description:** The Senior Compliance Office provides advice, guidance and support to business units ... compliance initiatives to help manage regulatory risk. ** Compliance Monitoring & Compliance Oversight**...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 ... with other members of REA team on projects and testing . The Senior Compliance Manager... monitoring , issues management, and verification activities. The Senior Compliance Manager must exhibit strong leadership,… 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, ... the design and execution of wealth management testing and continuous monitoring to evaluate Key's compliance with regulatory requirements and expectations.… 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 ... Compliance Testers as part of the wider Monitoring and Testing Team. The Director -...enterprise wide impact or accountability. + Position deals with senior /executive management. + Key contact for business management, regulators… more
- KeyBank (Buffalo, NY)
- …laws and regulations through the execution of compliance and operational risk monitoring and testing across Key's lines of business, products, and functional ... Job** As part of Key's second line of defense Compliance Risk Management function, the Risk Evaluation and Assurance...assist in the design and execution of operational risk testing and continuous monitoring . Individuals work both… more
- BMO Financial Group (New York, NY)
- …training needs and helps develop training based on gaps identified through the compliance monitoring and testing . + Identify enhancements to business ... Fixed Income compliance program. Coordinate and performs risk assessment, monitoring , testing and surveillance activities to ensure program remains current… more