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Provide Compliance (second line) oversight, review and challenge over first line testing activities to ensure that first line testing effectively meets standards for coverage of compliance risks. The Director Compliance TDS oversees/leads a team(s) of specialists/professionals providing advice, g...
As a Futures Commission Merchant Compliance Vice President, you will have the opportunity to work in a fast paced, rules driven second line of defense function, partnering with multiple business and functional stakeholders throughout the Bank to ensure reasonably designed compliance frameworks fo...
Reporting to the Director, Head of Regulatory Operations & Swap Dealer Compliance, Candidate must have experience in performing in-depth regulatory analysis regarding the requirements under Title VII of the Dodd-Frank Act, as well as in developing and implementing compliance programs in environme...
The VP/AVP Senior Compliance Auditor assists the Team Lead in the oversight, design and execution of audit coverage for Bank of Chinas US (BOC USA or the Bank) Compliance program with emphasis on the sanctions (mainly OFAC) program and consumer compliance. Experience as a bank examiner, auditor, ...
The primary function of this position is to support the Compliance Monitoring and Testing Manager in the development, implementation, execution and reporting of the Bank's compliance testing, monitoring, and validation exercises in accordance with the Bank's Compliance Testing (CT) Plan. Metropol...
Company Policies, Compliance Assessments, Corporate Ethics, Executive Leadership, Group Problem Solving, Regulatory Compliance, Relationship Management, Risk Assessments, Risk Compliance, Strategic Advisory. Equity Derivatives Compliance Officer is responsible for: 1) administering CIBC's policie...
Department Overview:The Senior Oversight Analyst - Regulatory Compliance Reporting collaborates with Compliance partners and other TD colleagues to gather, aggregate, analyze and publish data that provides insights to Executive Management and multipl Operations, Regulatory, Compliance, Reporting,...
Family and Medical Leave Act ; Employee Polygraph Protection Act and Pay Transparency Nondiscrimination Provision ....
This Senior Lead Compliance Officer position will provide IRM coverage of FINRA licensed bankers in Corporate and Investment Banking (CIB), specifically for the coverage sectors within investment banking. They are accountable for execution of all applicable risk programs (Credit, Market, Financia...
Business Analyst, Compliance Technology- IT. Conducts data analysis to define technology solutions to meet business requirements, validates data quality and defines and implements various data quality controls, troubleshoots data reconciliation issues, validates compliance and fraud detection mod...
The mission of the Compliance Function is to protect the Bank and serve the public interest by ensuring that the Bank adopts sound risk-based compliance controls and by promoting a strong ethical mindset. Your role as Compliance Testing Specialist: * Work within a small team to lead the...
The individual will be joining the Compliance Surveillance team. Provide report review status updates and activities to senior compliance officers and other key stakeholders. Knowledge of best practices, and surveillance procedures of securities industry compliance reviews. ...
Your role as a Compliance Associate: * Conduct comprehensive research including reviews of media sources, public records databases, and open-source information * Analyze research results and identify potential areas of concern * Prepare concise written summaries of r...
The Senior Compliance specialist will participate in developing, and implementing policies and procedures to ensure compliance with applicable laws and regulations, create and execute monitoring to track line of business performance and act as resource to internal clients for regulatory complianc...
At Bank of America, each day brings innovation and opportunity. The Global Payments Solutions (GPS) Data & AI Strategy and Management team (DSM) is looking for a Data Manager (DM) for the Global Transactions Services, part of the GPS team which is a ~$15bn business who will focus on Governance, P...
Risk and Compliance provide risk and compliance services across all BNY Mellon businesses including the following groups: Risk Management, Compliance, Global Corporate Security, Information Risk Management and Global Business Continuity. In EMEA, Compliance is split into four pillars; Business Co...
Engages in activities to provide independent compliance and operational risk oversight of FLU or Control Function (CF) performance and any related third party/vendor relationships in alignment with the Global Compliance - Enterprise Policy, the Operational Risk Management - Enterprise Policy (col...
The Head of US Compliance Quality Assurance lead will provide thought leadership into the strategic vision for our approach to perform quality assurance testing and monitoring throughout the second-line of defense compliance risk management program, including the appropriate organization structur...
The mission of the Compliance Function is to protect the Bank and serve the public interest by ensuring the Bank adopts sound risk-based compliance controls and by promoting a strong ethical mindset. Company Federal Reserve Bank of New York Working at the Federal Reserve Bank of New Yor...
Knowledge and experience within bank compliance or bank audit, legal and regulatory environment, enterprise governance framework, products and services, policies, standards, systems, reporting and training requirements. The Compliance Governance & Operations Manager leads the development and impl...
Known as the “bank of banks” - % of the world’s top banks work with us as we lead and serve our customers into the new era of digital. We’re seeking a future team member for the role of SVP – Sanctions Compliance & Controls to join our Global Sanctions Compliance team. We are one of the world's t...
