- American Express (Sandy, UT)
- …risk concepts into practical actions. **Key Responsibilities:** + Act as a compliance risk advisor to front - line business teams, helping them understand ... applicable regulatory obligations. + Support the execution of compliance risk assessments and ongoing monitoring activities within the business unit. + Partner… more
- PNC (Cleveland, OH)
- …procedures in to ensure continued alignment with the Enterprise BSA/AML & Sanctions Risk Policy, the Enterprise CDD Policy, current regulatory environment, and ... corrective action plans. Reviews and analyzes assessments of AML and Sanctions risk and internal controls, as appropriate. Analyzes regulatory developments,… more
- Bank of America (Charlotte, NC)
- …The team places strong emphasis on delivering world class quantitative solutions for Front Line Unit (FLU) model owners and stakeholders through a disciplined ... The team places strong emphasis on delivering world class quantitative solutions for Front Line Unit (FLU) model owners and stakeholders through a disciplined… more
- TD Bank (New York, NY)
- … regulatory requirements and assisting business units to manage their regulatory risk . **Responsibilities:** + Directs day-to-day activities of the Investment ... York, New York, United States of America **Hours:** 40 ** Line of Business:** Compliance **Pay Detail:** $225,000 - $250,000...Compliance team in a manner consistent with the Bank's risk culture and the relevant risk appetite… more
- Bank of America (Plano, TX)
- …monitor and improve processes. EIT tests processes and controls on behalf of the Second Line of Defense, Front Line Units (FLUs) and Control Functions (CFs), ... tracking to completion. * Enhancing ongoing monitoring and related risk management capabilities. * Support model-related regulatory ... Risk Analytics and Enterprise Independent Testing** Global Risk Analytics (GRA) is a sub- line of… more
- TD Bank (New York, NY)
- …TDS Chief Data Officer (CDO), Data and Delivery Initiatives (DDI) team, Compliance Technology, First- Line Risk and Control, and Front Office Technology to ... /compliance requirements and assists in implementing compliance initiatives to help manage regulatory risk . **Key Responsibilities:** + Data Governance & Quality… more
- TD Bank (New York, NY)
- …TDS Chief Data Officer (CDO), Data and Delivery Initiatives (DDI) team, Compliance Technology, First- Line Risk and Control, and Front Office Technology to ... sources (eg, order management systems, execution platforms, and market data feeds). + Regulatory Compliance & Risk Management: Ensure TDS meet regulatory … more
- Bank of America (Pennington, NJ)
- …for submission to regulators and/or law enforcement. This role may partner with GFCC Risk Management, front line units or other stakeholders to resolve ... and partners with Global Financial Crimes (GFC) Management and/or Front Line Units (FLU) to resolve investigations...Issue Management + Talent Development **Preferred Technical Skills:** + Risk Identification & Assessment + Line of… more
- American Express (Phoenix, AZ)
- …across business operations. This role is responsible for advising business leaders on regulatory obligations and ensuring that front - line activities operate ... controls and mitigation strategies. + Support the execution of business-level compliance risk assessments and control self-assessments. + Support regulatory exam… more
- SMBC (Charlotte, NC)
- …IT Functional Control Officer (FCO) for Capital Markets/Nikko is a change agent and risk management expert within the first line of defense. The role provides ... guidance on processes and control design, ensures effective assessment of technology risk across the broader operating environment, and supports interaction between … more