- Citigroup (Getzville, NY)
- …Recommends Corrective Action Plans (CAPs) and / or Risk Exceptions (REs). + Support Internal Audit reviews and/or internal Control reviews. + Assists with ... Data modeling and workflow mapping. + 2+ years experience working with internal /external audit /regulatory groups is preferred. + Advanced project management,… more
- Citigroup (Getzville, NY)
- …Technology, Prime Legal, Compliance (NY/NJ), Compliance Independent Assurance testing, and Internal Audit . Externally, this role regularly interfaces with ... COO, & CFO) as to the strength of the internal control framework (known as the 17a-5 Annual Compliance...role is also intensively involved in KPMG's annual 17a-5 audit of 15c3-3 Possession or Control. **Responsibilities:** + Lead… more
- SMBC (New York, NY)
- …right stakeholders at the right time. + Partner with Compliance, Risk, Audit , and Technology teams to ensure program objectives align with regulatory expectations ... and internal control standards. + Lead the coordination and execution...execution of remediation activities related to regulatory findings and audit observations, ensuring timely closure, documentation, and sustainable control… more
- Citigroup (Jacksonville, FL)
- …requirements and internal policies + Foster strong partnerships with internal audit , business units, and senior management, communicating effectively to ... Citi achieves and maintains compliance and appropriately remediates findings from internal and external reviews as well as self-identified issues. Includes… more
- Citigroup (Tampa, FL)
- …the "Excel Toolkit" for control assessments, guiding its adoption by internal and external stakeholders. + Contribute to toolkit enhancements, incorporating feedback ... completed toolkits are properly stored and version-controlled on SharePoint for audit and regulatory purposes. **Remediation and Approvals Management** + Own the… more
- Citigroup (New York, NY)
- …all relevant regulatory requirements and internal policies + Partner with internal audit , business units, and senior management, communicating effectively to ... Citi achieves and maintains compliance and appropriately remediates findings from internal and external reviews as well as self-identified issues. Includes… more
- Citigroup (Getzville, NY)
- …requirements and internal policies + Foster strong partnerships with internal audit , business units, and senior management, communicating effectively to ... Citi achieves and maintains compliance and appropriately remediates findings from internal and external reviews as well as self-identified issues. Includes… more
- Citigroup (Tampa, FL)
- …to support improved ratings of the control environment and risk appetite by Internal Audit and Finance Regulatory Reporting Risk Oversight, respectively. The ... updates on progress, status, risks, and challenges + Collaborate with Internal Audit and Finance Regulatory Reporting Risk Oversight on progress and expectations… more
- JPMorgan Chase (Plano, TX)
- …consent management platforms. + Rationalize and consolidate platform capabilities across internal silos to enable full-funnel visibility and traceability of content ... scorecards, and traceability logs to comply with global regulatory and audit requirements. + Establish governance frameworks for templated vs. custom-made content,… more
- JPMorgan Chase (Boston, MA)
- …main point contact for internal examinations conducted by Compliance and Internal Audit . This includes representing management in demonstrating adherence to ... practices of Advisors with respect to regulatory requirements and internal policy + Assist in the on/off boarding of...internal policies and procedures, as well as maintaining and… more