- TD Bank (Portland, ME)
- …management areas, broader organization, and enterprise as appropriate. **Department Overview:** US Compliance Testing (USCT) is a centralized compliance ... team within the Compliance Department that conducts independent, risk-based compliance testing to assess the effectiveness of operational procedures and key… more
- Scotiabank (New York, NY)
- Compliance Testing Senior Manager, Swap Dealer and Derivatives Compliance **Requisition ID:** 220508 **Salary Range:** 117.400,00 - 224.700,00 _Please note ... for every future! **Purpose** Contributes to the overall success of GBM&T Compliance Testing team and Swap Dealer and Derivatives Compliance ensuring… more
- TD Bank (Greenville, SC)
- …enthusiastic colleagues dedicated to setting new industry standards. **Job Summary:** The Senior Compliance Testing Analyst executes independent testing of ... standards + Provides analysis on issues and effectively communicates results to Compliance Testing management and assists management in communicating results to… more
- Scotiabank (New York, NY)
- Manager, Compliance Testing **Requisition ID:** 223397 **Salary Range:** 90.000,00 - 167.200,00 _Please note that the Salary Range shown is a guideline only. ... and procedures. The primary responsibility of this position is to support compliance testing for Scotiabank's US operations. The US Compliance Testing… more
- TD Bank (New York, NY)
- …culture and comprehensive approach to managing regulatory compliance risk. This Director - Compliance Testing Team Lead role is a newly created role on the ... wider Monitoring and Testing Team. The Director - Compliance Testing Team Lead oversees/leads a team(s) of specialists/professionals providing advice,… more
- M&T Bank (Clanton, AL)
- Overview: The Senior Compliance Testing Analyst is responsible for executing compliance testing and issue validations utilizing a risk-based approach to ... and provide risk focused input on effectiveness and efficiency of testing approach. . Perform compliance testing and issue validation in accordance with… more
- First Horizon Bank (Knoxville, TN)
- …the review, providing timely status and potential issue updates to the Compliance Testing (CT) Director, issuance of preliminary findings to management, ... background preferred (2-3 years) + Background in preparing for internal ( Compliance Testing and/or Audit) and external (regulatory) examinations preferred. +… more
- Robert Half Management Resources (New York, NY)
- Description Robert Half is seeking a Consumer Compliance Testing professional. Does this sound like you? * Conduct compliance testing to identify ... issues. Requirements * A minimum of 3 years of experience in a compliance testing or similar role in the banking industry * Demonstrated knowledge and experience… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and resolve complex issues. **Essential Duties and Responsibilities** * Conducts risk-based compliance testing on at least two investment advisers. * Leads ... and/or certification in securities and/or banking industry to perform risk-based testing (206(4)-7) for multiple investment advisers within the Raymond James… more
- Charles Schwab (Lone Tree, CO)
- …to join the team, as a Senior Manager, responsible for conducting risk-based compliance testing within our affiliated investment advisory programs and mutual ... testing scopes that include applicable regulatory requirements and adhere to established compliance testing policies & procedures + Conduct compliance … more
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