- TD Bank (Fort Lauderdale, FL)
- …standards. management areas, broader organization, and enterprise as appropriate. **U.S. Compliance Monitoring and Testing provides governance, oversight, ... and support for central elements of the US Compliance Monitoring and Testing Program, including:** + Lead strategic planning efforts and support US … more
- Citigroup (Tampa, FL)
- …, and reporting activities. + Experience in planning, executing, and reporting on compliance testing or monitoring reviews and regulatory issue validation ... defense. The Compliance Independent Assessment Sr. Analyst performs risk-based testing and monitoring of Citi's compliance risks in order to assess the… more
- Bank of America (Tampa, FL)
- …entity + Relevant certifications (eg, CAMS, CGSS, or similar) **Skills:** + Regulatory Compliance + Monitoring , Surveillance, and Testing + Critical Thinking ... Global Financial Crimes Economic Sanctions Compliance Advisor New York, New York;Charlotte, North Carolina; Tampa, Florida **To proceed with your application, you… more
- TD Bank (Fort Lauderdale, FL)
- …Unfair, Deceptive, or Abusive Acts or Practices (UDAAP) regulations + Experience with compliance testing and monitoring frameworks + Exposure to regulatory ... Enterprise Compliance Risk Assessment Framework + Monitors that assessments ( monitoring , risk assessment etc.) are completed and communicated in a continuous and… more
- Arena Investors LP (Jacksonville, FL)
- …policies and procedures; . Administration of firm (Investment Adviser and Broker-Dealer) annual compliance review ( testing and monitoring ); . Conflicts of ... expand the team through the addition of a senior Compliance Officer. In this role, this individual will work.... Support the CCO with FINRA broker-dealer requirements; . Monitoring of Client guidelines and restrictions; . Review of… more
- Carrington (Jacksonville, FL)
- …the provisioning documentation for various audit and exam documentation. Also responsible for compliance testing and monitoring compliance matters. ... to respond to regulatory compliance audit/exams + Perform assigned compliance testing as assigned and promptly escalate compliance concerns. + Create… more
- Bank of America (Tampa, FL)
- …in areas such as sanctions advisory, issues management, and monitoring and testing from a sanctions compliance and risk perspective. This role is an ... skills + Financial Services and/or related government entity **Skills:** + Regulatory Compliance + Monitoring , Surveillance, and Testing + Critical… more
- WM (Fort Lauderdale, FL)
- …within the defined geographic area of coverage including: GCCS installation/modifications, compliance monitoring testing and reporting, program development, ... and control system (GCCS) operations, capital budget planning and dispersal, regulatory compliance , and will provide oversight of and support to Area landfill gas… more
- Citigroup (Tampa, FL)
- Individuals in Quality Assurance, Monitoring & Testing are responsible for the assessment of outcomes from activities and processes against conformance with ... post completion of an activity/process. This includes the development and execution of Monitoring and Testing for controls, such as control design assessment,… more
- Citigroup (Tampa, FL)
- Quality Assurance, Monitoring & Testing team is responsible for the assessment of outcomes from activities and processes against conformance with applicable ... post completion of an activity/process. This includes the development and execution of Monitoring and Testing for controls, such as control design assessment,… more