- KeyBank (Buffalo, NY)
- …laws and regulations through the execution of compliance and operational risk monitoring and testing across Key's lines of business, products, and functional ... Job** As part of Key's second line of defense Compliance Risk Management function, the Risk Evaluation and Assurance...assist in the design and execution of operational risk testing and continuous monitoring . Individuals work both… more
- Zions Bancorporation (Salt Lake City, UT)
- …the talent; we bring the opportunity. **We are currently seeking a** **Risk and Compliance Testing Officer** **within the Market, Liquidity, Wealth Risk & ... exciting divisions of Zions Bancorporation. A position as a MLW Risk and Compliance Testing Officer will provide unique opportunities to collaborate across… more
- Coinbase (Charlotte, NC)
- …of operations. *What you'll be doing: * Lead a team of 10-15 Compliance (Transaction Monitoring / AML and Fraud Investigations/EDD) Analysts; * Ensure ... connection, and alignment. Attendance is expected and fully supported. The Compliance team within Customer Experience (CX) is responsible for developing and… more
- MUFG (Irving, TX)
- …their extra-territorial application. Experience with markets compliance , markets surveillance, compliance monitoring , auditing or testing reviews and/or ... recruitment team will provide more details. **Job Summary:** Americas Compliance Testing (ACT) is an integral part...partners to deliver an effective second line of defense testing program that meets senior management and… more
- MUFG (Irving, TX)
- …such as changes in the regulatory environment, which may necessitate ad hoc systems testing . + Support senior management in the identification of controls and ... perform a leadership role on the Global Systems & Technology Review Team's testing activities in the Americas region. This includes managing the systems testing… more
- Capital One (Richmond, VA)
- Senior Associate, Compliance The Corporate ...least 2 years of experience in compliance testing , risk management, compliance monitoring , ... Compliance team is seeking an experienced Senior Associate who will be responsible for executing risk-based...Preferred Qualifications: + 3+ years of financial services consumer compliance monitoring experience + Certified Regulatory … more
- TD Bank (New York, NY)
- …(COF) including;** + ** Compliance -wide frameworks, guidelines and standards for testing , monitoring , risk assessment, reporting and other activities** + ... regulatory compliance risk and conduct risk;** **Job Summary:** The Senior Compliance Business Oversight Analyst provides objective guidance, support and… more
- Capital One (Mclean, VA)
- …Qualifications: + Bachelor's Degree + 3+ years of financial services consumer compliance monitoring , auditing, risk management or compliance experience ... Senior Associate, Compliance Transaction Tester The... Associate who will be responsible for executing risk-based compliance transaction testing under the leadership of… more
- Aegon Asset Management (Cedar Rapids, IA)
- …and senior management. + Active participation in the periodic compliance risk assessment process, development of annual testing plans, scheduling/assignment ... from management. Job Description Responsibilities: + Perform risk-based independent compliance testing for the record-keeping and fiduciary administration… more
- ADM (Chicago, IL)
- …Perform business communication testing within Smarsh system to ensure regulatory compliance . Take ownership of process from monitoring to follow-up and ... **103420BR** **Job Title:** Senior Compliance Analyst - Chicago, IL...daily trading activity alerts within Validus system. + Perform testing and reviews of compliance policies and… more