- US Bank (Charlotte, NC)
- … compliance risks are in-scope. + Develops and maintains processes for Compliance issue coordination to ensure timely resolution of issues, including each ... issue expectations + Assists Management with strategic development of Corporate Compliance Issue Management program + Other projects, as assigned Basic… more
- TD Bank (Fort Lauderdale, FL)
- …in responding to periodic exams/audits by regulatory bodies and Internal Audit , to determine level of BSA/FCRM compliance **Employee/Team Accountabilities:** ... of issues with key stakeholders, such that TD achieves and maintains compliance and properly remediates findings from internal and external reviews as well… more
- Truist (Charlotte, NC)
- …of control testing activities (including control design and effectiveness testing), compliance monitoring indicator (CMI) activities, and Issue Validation ... remediation planning providing feedback for successful closure. 2. Participate in audit preparation activities and exam preparation. 3. Participate in key… more
- Capital One (New York, NY)
- …and tasks across the team to deliver quality results which may include issue validations, regulatory exam support, and/or other team initiatives. Proactively ... Principal Auditor (Experienced Senior Auditor), Risk Management Audit (Hybrid) Capital One's Audit function...financial analysis, at least 3 years of experience in compliance , or a combination. **Preferred Qualifications:** + 1+ year… more
- TD Bank (Charlotte, NC)
- …monitoring project implementation efforts, reviewing risk assessments, vendor engagements, reviewing audit findings and regulatory issues to support exam ... can provide you more specific details for this role. **Line of Business:** Compliance **Job Description:** **Department Overview:** **Why Work with Us?** At TD Bank… more
- TD Bank (New York, NY)
- …control checks of USCRCO key process steps prior to closure + Tracking US Compliance Enforcement Actions. + Managing audit and regulatory exams for Regulatory ... inventory reporting (inclusive of metrics) + Manage the US Compliance monthly Issue monitoring report Please review...environment + Experience assembling data or material from an audit or exam for regulators + Ability… more
- American Express (Sunrise, FL)
- …governance best practices in a multi-entity financial institution. + Relevant audit and compliance professional certification (Certified Regulatory Compliance ... Find your place in risk and analytics on #TeamAmex. The Global Risk & Compliance Organization (GRC) is an independent risk management function, led by the Chief Risk… more
- Capital One (Richmond, VA)
- …accuracy and adherence to test procedures + Evaluate Internal Audit , Regulatory Exam , and self-identified issues and events for compliance impacts + Provide ... + Participate in governance activities, including: Compliance Requirements, Compliance Risk Assessments, Business Change Management (LAUNCH), Issue and… more
- State of Colorado (Lakewood, CO)
- …. Description of Job ABOUT THE WORK UNIT The Office of Compliance is comprised of an Internal Audit Section, Risk Management ... Workplace Compliance Investigator Print (https://www.governmentjobs.com/careers/colorado/jobs/newprint/4950983) Apply Workplace Compliance Investigator Salary… more
- City and County of San Francisco (San Francisco, CA)
- …single audit report. + Learning about grant policies and compliance standards of different grantors, administering, and coordinating application and reporting ... THIS IS A CITYWIDE EXAM Specific Information regarding this recruitment process are...+ Spearheading comprehensive policy analysis and research efforts, including issue identification, report preparation, and expert recommendation generation. +… more
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