- 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
- SMBC (Jersey City, NJ)
- … testing reviews within the FCC Testing group, as part of the wider Compliance Monitoring & Testing function. This role will also support the Annual ... deliverables. + Serves as the examiner-in-charge responsible for all facets of compliance testing engagements. + Manages ongoing development and refinement of … 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 (Charlotte, NC)
- …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
- American Express (Sunrise, FL)
- …associated policies. This role is responsible for managing the day-to-day execution of Compliance Monitoring & Testing (M&T) reviews, preparing work papers, ... you will help us define the future of American Express. The US Independent Compliance Testing (ICT) team performs 2nd line of defense testing across American… more
- Citigroup (Tampa, FL)
- …, and reporting activities. + Experience in planning, executing, and reporting on compliance testing or monitoring reviews and regulatory issue validation ... defense. The Compliance Independent Assessment Sr. Analyst performs risk-based testing and monitoring of Citi's compliance risks in order to assess the… more
- Truist (Atlanta, GA)
- …of America) **Please review the following job description:** Responsible for executing testing and/or compliance monitoring indicators for assigned business ... risk programs, risks and controls. 4. Incorporate results of quality monitoring activities, 2nd line testing , SOX testing and complaints reporting in control… more
- Capital One (Plano, TX)
- …School Diploma, GED or equivalent certification** + **At least 3 years of compliance testing , monitoring , quality assurance, or audit experience** ... of business compliance requirements in alignment with team and Independent Compliance Testing Program methodology and procedures.** + **Suggesting changes to… more
- KeyBank (NY)
- …and a strong focus on risks and controls. + Knowledge of internal controls, compliance testing and monitoring processes (including analytics), and applicable ... Risk Management ["CRM"], the incumbent will provide second line of defense testing and monitoring of complaints. Specifically, this role will assist in… 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