- Citigroup (Getzville, NY)
- …Legal, Compliance (NY/NJ), Compliance Independent Assurance testing, and Internal Audit . Externally, this role regularly interfaces with representatives from the ... Annual Exams. This role is also intensively involved in KPMG's annual 17a-5 audit of 15c3-3 Possession or Control. **Responsibilities:** + Lead teammates and work… more
- Citigroup (New York, NY)
- …proposals and client presentation materials. Additionally, may attend client meetings, audit sales calls and investment reviews, and help follow-up with clients ... and bankers + Help support the senior members of the investment team in their delivery of investment solutions to clients. + Monitor and provide guidance on the markets to internal and external clients, incorporating the views of The Private Bank's Investment… more
- Huntington National Bank (Oklahoma City, OK)
- …and guidelines. The RM II will ensure the following: + Satisfactory loan review, audit and OCC review results of all assigned credit relationships. + Immediate and ... concise communication of actual or potential counter-party performance, compliance or facility level credit or operational problems. + Effective oversight and active surveillance of assigned facilities, remain engaged in working through any account-specific… more
- MUFG (Tempe, AZ)
- …documentation for reporting processes and support periodic review and audit requests. **Qualifications:** + Expert-level proficiency in Tableau, including advanced ... use of calculated fields, Level of Detail (LOD) expressions, IF and CASE statements, and other complex Tableau Functions. + Prior hands-on experience as a Tableau developer, with proven track record of designing, developing, and maintaining dashboards with… more
- JPMorgan Chase (Boston, MA)
- …point contact for internal examinations conducted by Compliance and Internal Audit . This includes representing management in demonstrating adherence to internal ... policies and procedures, as well as maintaining and providing all necessary documentation in accordance with internal examiners' requests + Resolve order errors including identifying circumstances, taking market action when necessary to resolve the error, and… more
- TD Bank (New York, NY)
- …for detecting market abuse and manipulation. + Advanced understanding of testing or audit concepts and principles as well as control analysis and evaluation. + ... Excellent interpersonal, organizational, leadership and communication (oral and written) skills. + Client service skills - experience demonstrating sound judgment and close partnership with senior managers and other stakeholders globally, as well as… more
- MUFG (Irving, TX)
- …findings and internally identified issues by compliance testing and internal audit . + Engage review stakeholders during testing reviews and Targeted Controls ... Assessments and provide credible challenge to ensure financial crimes compliance controls are adequately evaluated. + Play a leading role in financial crimes compliance related projects and engage with global and regional compliance management in the… more
- MUFG (Tempe, AZ)
- …Summary** **WORK EXPERIENCE:** + Experience in compliance testing, regulatory examination, audit , or risk management. + Exposure to regulatory exams or inquiries. ... + Experience with Core Compliance requirements such as Ethics, Data Privacy, Information Handling, Records & Information Management, Anti-Boycott Laws. **FUNCTIONAL SKILLS:** + Comfortable using Microsoft Office and basic data analysis tools + Strong… more
- Citigroup (Tampa, FL)
- …Minimum of 6-10 years of experience in operational risk management, compliance, audit , or other control-related functions in the financial services industry. + ... Knowledge of requirements of Policy - like documents (hierarchy and non - hierarchy). + Proven experience in managing dispensation, waivers, and risk acceptances to Policy requirements or equivalent experience + Ability to identify, measure, and manage key… more
- JPMorgan Chase (New York, NY)
- …legal firm + Experience in markets, risk management, control management, Compliance, Audit , and/or operational risk. + Proven ability to multi-task, prioritize, to ... deliver high-quality results that meet Firm and regulatory expectations in a fast-paced and evolving environment. + Ability to perform under pressure and to manage competing priorities under tight deadlines + A strong track record of managing relationships at… more