- TD Bank (New York, NY)
- …This Senior Compliance Officer is a key member of the TDS US Compliance Monitoring & Testing (M&T) Team, responsible for working on developing, ... Risk Owners to assist and show coverage alongside the Compliance testing and monitoring plan...wide range of capital markets products and services to corporate , government, and institutional clients who choose us for… more
- TD Bank (Charlotte, NC)
- …(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
- AdventHealth (Orlando, FL)
- …evaluating) in achieving the goals of the nursing department. Adheres to the AdventHealth Corporate Compliance Plan and to all rules and regulations of all ... and condition, including, but not limited to lab results, non-invasive monitoring data and interdisciplinary team notes. Nursing practice reflects the application… more
- Newtown Savings Bank (Newtown, CT)
- …on responses to recommendations. + Serve as liaison with third-party compliance monitoring vendor, including scheduling reviews; compiling document requests ... Are you ready to take your banking risk and compliance experience to the next level? Newtown Savings Bank.../reporting course completion status. + Coordinate and perform risk-based monitoring and testing reviews based upon regulatory… more
- CIBC (Chicago, IL)
- …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
- Scotiabank (Tampa, FL)
- …Compliance Risk Assessment process for the TAO and GTB business. + Provide Compliance support for Compliance Testing , Audits, Regulatory Exams, and ... related Management Information (MI) for the TAO Oversight Committee and periodic Compliance /Business engagement meetings. + Liaise with Corporate Functions … more
- Teleflex (Wayne, PA)
- …finance, or a related field preferred. * Minimum 1-2 years of experience in corporate compliance , internal audit, or a related regulatory field preferred. * ... for senior leadership and operational reporting. * Support global monitoring and testing activities to ensure ethical,...control, and version tracking. * Track and manage the compliance budget by processing invoices, monitoring expenses,… more
- BMO Financial Group (Milwaukee, WI)
- …training needs and helps develop training based on gaps identified through the compliance monitoring and testing . + Identifies enhancements to business ... of a specific compliance program. Coordinates and performs risk assessment, monitoring , testing and surveillance activities to ensure program remains current… more
- Charles Schwab (Southlake, TX)
- …Department coordinates the Company's compliance efforts, performs an advisory, monitoring , testing and education role to support Management's supervisory ... intend for the selected candidate for this role to work on-site. Corporate Compliance administers the Company's Compliance Program, which includes multiple… more
- KeyBank (Charlotte, NC)
- …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