- Scotiabank (New York, NY)
- Compliance Testing Senior Manager , Swap Dealer and Derivatives Compliance **Requisition ID:** 220508 **Salary Range:** 117,400.00 - 224,700.00 ... future! **Purpose** Contributes to the overall success of GBM&T Compliance Testing team and Swap Dealer and...and observations into central repository + Prepare and distribute testing reports to senior management detailing review… more
- Capital One (Mclean, VA)
- … Manager - Anti-Money Laundering Compliance Controls Review Testing The Compliance Testing Senior Manager performs a key second line of ... and departmental processes comply with Anti-Money Laundering and Sanctions regulations. The Compliance Testing Senior Manager will be responsible for… more
- TD Bank (Greenville, SC)
- …to the role which is outlined in the general summary below. **Job Summary:** The Senior Manager , Compliance Testing oversees and develops team(s) of ... and key controls over regulatory compliance . This Compliance Testing Manager role will...for the timely execution of the Compliance testing plan + Typically deals with senior /executive… more
- BMO Financial Group (Chicago, IL)
- Assists in the implementation, maintenance and administration of the regulatory compliance testing program. Independently conducts regulatory compliance ... to gain competitive insights and best practices. + Represents the Regulatory Compliance Testing team and interacts with examiners/auditors during internal,… more
- TD Bank (Portland, ME)
- …enthusiastic colleagues dedicated to setting new industry standards. **Job Summary:** The Senior Compliance Testing Analyst executes independent testing ... standards + Provides analysis on issues and effectively communicates results to Compliance Testing management and assists management in communicating results to… more
- M&T Bank (Clanton, AL)
- Overview: The Senior Compliance Testing Analyst is responsible for executing compliance testing and issue validations utilizing a risk-based approach ... compliance officers to confirm validity of issues; make recommendations to Compliance Testing Manager regarding the appropriate tier rating of identified… more
- TD Bank (New York, NY)
- …provide you more specific details for this role. **Job Description:** **Preferred Qualifications:** This Senior Compliance Officer is a key member of the TDS US ... + Assist with developing and executing the annual Compliance Testing and Monitoring plan + Determine...judgment and ability to closely partner with and advise senior and line managers and other stakeholders on regulatory… more
- TD Bank (New York, NY)
- …can provide you more specific details for this role. **Job Description:** The Senior Compliance Office provides advice, guidance and support to business units ... + Assist with developing and executing the annual Compliance Testing plan + Determine scope of...assessments **Depth & Scope:** + Works independently as the senior officer and may coach and educate others +… more
- Raymond James Financial, Inc. (New York, NY)
- …Control partners across the organization including the GE Business Unit Risk Manager , Compliance , Legal, Operations and Risk Management departments. + Performs ... Summary** Employ extensive knowledge of Market Access Rule 15c3-5 testing . Understand regulatory supervision of control testing ... of the systems used in trading, to ensure compliance with regulation in Market Access Rule 15c3-5, and… more
- Truist (Charlotte, NC)
- …of control testing activities (including control design and effectiveness testing ), compliance monitoring indicator (CMI) activities, and Issue Validation ... activities. 4. Perform issue validation testing . 5. Perform control testing . 6. Perform assessment activities. 7. Perform compliance monitoring indicator… more