- City National Bank (Charlotte, NC)
- …in a BSA role required. * Minimum of 2 years experience with Compliance Risk Assessment testing and documentation. *Additional Qualifications* * ACAMS Certified ... compliance colleagues and business line management to conduct risk assessments in order to recommend enhancements to current...to help ensure that policies and procedures are in compliance with legal and regulatory requirements and… more
- Capital One (Mclean, VA)
- … risk management + 15+ years of experience in internal auditing, regulatory compliance , first or second line risk management, or a combination + 7+ years ... team will be responsible for designing and executing a risk -based testing strategy to ensure the quality of AML,...Internal Auditor (CIA), Certified Public Accountant (CPA), or Certified Regulatory Compliance Manager (CRCM) + Experience with… more
- Navy Federal Credit Union (Vienna, VA)
- …of operations + Coordinates and supervises the review and analysis of federal regulatory compliance efforts + Prepares responses to regulatory requests ... as a subject matter expert with Navy Federal business units to ensure regulatory compliance in order to facilitate, improve, and strengthen business operations… more
- Manulife (Boston, MA)
- …new policies as needed with regulatory and/or business developments. + Conduct risk assessments and testing of compliance policies and procedures, to include ... degree preferably in Accounting/ Finance /Business + 4-6 years of auditing, compliance , portfolio accounting or other relevant regulatory or investment company… more
- Santander US (Dallas, TX)
- …results to management to ensure the Company /AML and Sanctions program is in compliance with Regulatory Requirements, Policy and Procedures. In this role, you'll ... and analyzing data sets to draw conclusions to maximize efficiency of Sanctions Compliance operational processes and to manage risk and ensure compliance… more
- TD Bank (New York, NY)
- …programs to support a strong risk culture and comprehensive approach to managing regulatory compliance risk . This Director - Compliance Testing Team ... for this role. **Job Description:** TD has enhanced its Regulatory Compliance Management Framework (RCM) and is... requirements and assisting business units to manage their regulatory risk . **Key Responsibilities:** + Assist in… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …policies and procedures. + Works in conjunction with management to prepare the Compliance Risk Assessment. + Completes the annual conflict of interest and ... compliance program, and surfacing relevant information to aid in risk -based decision-making regarding compliance with respect to packaged products. This… more
- Vanguard (Malvern, PA)
- …The successful candidate will lead a dedicated team, oversee the financial crimes compliance program, and ensure adherence to regulatory requirements. Serves as ... of communication between, and with, business contacts, Legal and Compliance , Enterprise Risk Management, Internal Audit and...Risk Management, Internal Audit and global partners. + Regulatory Engagement: Serve as the primary liaison with … more
- Aston Carter (Poway, CA)
- …audits and preparing for government reviews. + Ability to research and interpret regulatory compliance matters, including FAR and DFARS. + Strong communication, ... Compliance Manager, you will be part of the Risk & Control Assurance department, leading a team to...performance reviews. Essential Skills + Bachelor's degree in accounting, finance , or a related discipline with eleven or more… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …assess privacy-related risk with business partners to identify and address privacy-related compliance gaps or areas of privacy risk in support of business ... Planning and scheduling work to meet regulatory organizational and regulatory requirements. + Identifying and applying appropriate compliance monitoring… more