- SMBC (Jersey City, NJ)
- … testing reviews within the FCC Testing group, as part of the wider Compliance Monitoring & Testing function. This role will also support the Annual ... deliverables. + Serves as the examiner-in-charge responsible for all facets of compliance testing engagements. + Manages ongoing development and refinement of … more
- TD Bank (New York, NY)
- …**Job Description:** This Compliance Officer is a key member of the TDS US Compliance Monitoring and Testing Team and Core Compliance Group. The ... also support other aspects of the Core Compliance program as needed. Compliance Monitoring and Testing + Develop and design annual and cycle-based … more
- TD Bank (New York, NY)
- …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
- TD Bank (New York, NY)
- …Qualifications:** This Senior Compliance Officer is a key member of the TDS US Compliance Monitoring and Testing Team and Core Compliance Group. The ... aspects of the Core Compliance program as needed. **Depth & Scope:** Compliance Monitoring and Testing + Assist with developing and executing the annual … more
- TD Bank (New York, NY)
- …execution of the annual Compliance Test Plan. + Work closely with the Head of Compliance Monitoring and Testing and the other Compliance Testing ... as manage a team of Compliance Testers as part of the wider Monitoring and Testing Team. The Director - Compliance Testing Team Lead oversees/leads a… more
- NatWest Markets (Stamford, CT)
- …candidate will be part of team operating an effective Compliance Assurance testing program and will be responsible for monitoring and assurance reviews to ... of policy. **Key Responsibilities:** + Contribute to the NWM, US Compliance Assurance Monitoring and Testing Plan. Apply subject matter expertise to… more
- TD Bank (New York, NY)
- … Risk Assessment, Compliance Issue Management, regulatory controls management, Compliance Monitoring & Testing , Program Effectiveness Assessments, ... Lead is responsible for:** + Facilitating the identification, assessment, control, and monitoring of escalated US Compliance risks through the regulatory issue… more
- TD Bank (New York, NY)
- …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
- Carrington (Old Greenwich, CT)
- …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
- Fiserv (New York, NY)
- …money services businesses, and cryptocurrency. This role provides strategic guidance, executes compliance monitoring and testing , and supports business ... and risk assessments in line with regulatory requirements. + Execute compliance monitoring and testing for various verticals. + Develop, implement,… more
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