- BMO Financial Group (Chicago, IL)
- …over 1st line activities establishing the risk frameworks required to mitigate Non- Financial Risk exposures, to comply with regulatory requirements, Corporate ... Identifies, assesses, remediates and reports of all non- financial risks related to their area of expertise...leadership with respect to trade-offs. + Speaks authoritatively with regulatory officials with respect to existing controls ,… more
- TD Bank (Mount Laurel, NJ)
- …are in compliance with applicable internal and external requirements ( eg financial controls , segregation of duties, transaction approvals and physical ... Solves unique and ambiguous problems with broad impact; typically oversees standards, controls and operating methods that have significant financial and… more
- M&T Bank (Buffalo, NY)
- … associated with the key processes. + Adhere to applicable compliance/operational risk controls in accordance with Company or regulatory standards and policies + ... vary by department and are assigned by the department manager . The position may be responsible for additional projects...+ Understand and adhere to the Company's risk and regulatory standards, policies and controls in accordance… more
- MUFG (Jersey City, NJ)
- …to address root causes of risks that may lead to operational losses or regulatory breaches. **Cybersecurity Controls and Reporting:** + Represent EIS GRC in ... (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association… more
- TD Bank (New York, NY)
- …operations are in compliance with applicable internal and external requirements (eg financial controls , segregation of duties, transaction approvals and physical ... corporate and/or control functions and ensures alignment with enterprise and/or regulatory requirements + Keeps abreast of emerging issues, trends, and evolving … more
- Amneal Pharmaceuticals (Bridgewater, NJ)
- …to join our team. The ideal candidate will have 2+ years of experience in SOX Control Testing and both IT and financial audits. This role will report to the ... financial , operational or IT processes. Audits involve planning, control design assessments, scoping, detailed testing, effective communication, and drafting… more
- Raymond James Financial, Inc. (Springfield, IL)
- …) plays a key role in supporting the firm's compliance with non- financial regulatory reporting requirements. Leveraging advanced knowledge and experience, this ... : + Responsible for the production, validation and submission of non- financial regulatory reports (eg, Consolidated Audit Trail (CAT) Electronic… more
- Travelers Insurance Company (Hartford, CT)
- …SEC and STAT (Statutory Accounting Principles). + Develop, perform, and certify financial controls in accordance with Sarbanes-Oxley requirements. + Review ... Travelers' accounting team serves as the steward of our financial information and controls to ensure compliance...Lead projects that analyze and implement complex business and financial regulatory changes relating to financial… more
- First National Bank of Omaha (Minneapolis, MN)
- …integrity of trading processes, enhances desk efficiency, and promotes adherence to internal controls and regulatory standards. The individual in this role acts ... a strong control environment. Remain aware of changing compliance and regulatory standards. Maintain proper and accurate books and records and ensure that all… more
- TD Bank (New York, NY)
- …are in compliance with applicable internal and external requirements ( eg financial controls , segregation of duties, transaction approvals and physical ... the governance of Non-Model/EUC risk to the bank by executing compliance and control testing to validate that Non-Models/EUC risks are managed in compliant with the… more