- Citigroup (Tampa, FL)
- …implemented by Citi's first and second line of defense. The Compliance Testing Sr. Analyst performs risk-based monitoring of Citi's compliance risks ... used to address reported issues. **Responsibilities:** + Develops, implements, and executes compliance monitoring procedures in accordance with the Compliance… more
- Citigroup (O'Fallon, MO)
- …is a Vice President (VP) 2nd Line of Defense position serving as a Consumer Compliance monitoring and testing officer for Independent Compliance Risk ... Services, Retail Bank and Mortgage). **Responsibilities:** + Developing, implementing, and executing compliance testing , compliance monitoring , and… more
- Citigroup (Tampa, FL)
- …, and reporting activities. + Experience in planning, executing, and reporting on compliance testing or monitoring reviews and regulatory issue validation ... defense. The Compliance Independent Assessment Sr. Analyst performs risk-based testing and monitoring of Citi's compliance risks in order to assess the… more
- SMBC (Jersey City, NJ)
- …SMBC's Compliance Department Americas Division is seeking a VP of Swap Dealer Compliance Monitoring & Testing (M&T). The VP is responsible for execution ... serve as a team member for M&T annual planning, monitoring and testing reviews. This role will...7+ years of swap dealer experience + Has a Compliance Testing , NFA or Internal Audit background… more
- Citigroup (Irving, TX)
- …auditing, testing , monitoring , and reporting. + Utilizing innovative compliance testing solutions including Data Analytics to increase value and reduce ... Citi's compliance risks; performing independent assurance activities ( testing and on-going monitoring ) to assess the...Executing compliance controls testing , transactional testing , or compliance controls monitoring … more
- SMBC (Jersey City, NJ)
- …SMBC's Compliance Department Americas Division is seeking a Vice President of the Compliance Monitoring and Testing team to perform testing of ... M&T Program + Serves as the examiner-in-charge responsible for all facets of compliance monitoring and testing engagements + Assists in the development and… 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 ... aspects of the Core Compliance program as needed. **Depth & Scope:** ** Compliance Monitoring and Testing ** + Develop and design annual and cycle-based … 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
- 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
- TD Bank (New York, NY)
- …will manage ongoing Compliance risk coverage planning that will support the Compliance Monitoring & Testing (M&T) program. Additionally, this role will ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $140,000 - $185,000 USD TD is...+ Support the development and maintenance of the Firm's Monitoring and Testing Coverage Plan, which includes… more