- 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)
- …**Job Description:** This VP, Compliance is a key member of the TDS US Compliance Monitoring & Testing (M&T) Team, responsible for working on the ... + Assist with the development, implementation and coordination of the Compliance Monitoring program, including evaluating program design elements, analyzing… more
- KeyBank (Amherst, NY)
- …ongoing compliance with applicable laws and regulations through the execution of compliance monitoring and testing across Key's Wealth Management and ... partners in designing and executing compliance testing , special projects, and ongoing monitoring . + Demonstrate subject matter expertise in compliance … more
- KeyBank (Amherst, NY)
- …ongoing compliance with applicable laws and regulations through the execution of compliance monitoring and testing across Key's lines of business, ... role assist in the design and execution of wealth management testing and continuous monitoring to evaluate Key's compliance with regulatory requirements and… 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
- TD Bank (New York, NY)
- …This Senior Compliance Officer is a key member of the TDS US Compliance Monitoring & Testing (M&T) Team, responsible for working on developing, ... and coordinate with our Risk Owners to assist and show coverage alongside the Compliance testing and monitoring plan coverage of key risks and business units… more
- BMO Financial Group (New York, NY)
- …training needs and helps develop training based on gaps identified through the compliance monitoring and testing . + Identify enhancements to business ... Fixed Income compliance program. Coordinate and performs risk assessment, monitoring , testing and surveillance activities to ensure program remains current… more
- KeyBank (Buffalo, NY)
- …to various lines of business. Additionally, the Compliance Officer will conduct compliance monitoring and testing to ensure compliance risks ... evolves and grows. + Proven ability to work in a team environment. + Compliance monitoring and testing skills. + Sound decision-making skills; able to make… more
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