- SMBC (Jersey City, NJ)
- …SMBC's Compliance Department Americas Division ("CPAD") is seeking an Analyst for Compliance Monitoring and Testing . The Analyst is responsible for ... for New York Branch. + Serves as a tester for all facets of compliance monitoring and testing engagements. + Assists in the development and refinement of… 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 (Charlotte, NC)
- …a team of enthusiastic colleagues dedicated to setting new industry standards. **U.S. Compliance Monitoring and Testing Team Summary:** **U.S. Compliance ... and is responsible for the execution of independent, risk-based compliance testing and validation activities to assess... Manager is responsible for strategic planning and US Compliance monitoring oversight. This role provides subject… more
- SMBC (Jersey City, NJ)
- …SMBC's Compliance Department Americas Division ("CPAD") is seeking a Compliance Monitoring and Testing Associate. The Associate-level position ... testing engagements is essential. **Role Objectives** + Supporting examiner-in-charge of Compliance Monitoring and Testing engagements. + Assists in the… more
- Walmart (Bentonville, AR)
- **Position Summary ** Join Global Ethics and Compliance and help execute compliance related testing and monitoring Anti-Corruption and Ethics reviews ... markets. The Manager, Specialty Compliance and Ethics - Testing and Monitoring coordinates and completes job-related activities and assignments by developing… 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 (Brooklyn, OH)
- …state securities and insurance divisions.** **Develop and manage routine and annual KIS compliance monitoring , testing that are aligned with KeyCorp's ... 4900 Tiedeman Road, Brooklyn Ohio **The Key Investment Services Sr. Compliance Manager - Compliance Testing and Regulatory Management role is direct report… more
- KeyBank (Amherst, NY)
- …and processes in mitigating applicable risks through the execution of operational and compliance monitoring and testing across Key's lines of business, ... and compliance partners in designing and executing testing , special projects, and ongoing monitoring . +...analysis tools and techniques to lead a team of compliance testing professionals in analyzing, quantifying, and/or… more
- KeyBank (Brooklyn, OH)
- …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 (Mount Laurel, NJ)
- …a team of enthusiastic colleagues dedicated to setting new industry standards. **U.S. Compliance Monitoring and Testing Team Summary:** **U.S. Compliance ... Compliance and is responsible for the execution of independent, risk-based compliance testing and validation activities to assess the effectiveness of… more
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