focus on examination and audit tracking and remediation, internal testing including vendor management, and privacy to ensure... examinations and audits ● Conduct regular compliance testing of the business in accordance with FINRA Rule 3110, in addition...
on examination and audit tracking and remediation, internal testing including vendor management, and privacy to ensure the Firm... and audits ● Conduct regular compliance testing of the business in accordance with FINRA Rule 3110, in addition to new products...
Project Manager, Wholesale Lending - SME/BA (Baseline Establishment & Collateral Remediation) specializing in wholesale... someone looking for a similar role. Job Title: Project Manager/SME Wholesale Lending Location: Charlotte, NC(3-4 days hybrid) Duration: 12...
, and remediation strategies. Familiarity with second line of defense (2LOD) compliance and third line of defense (3LOD) internal audit... Minimum 5 years of relevant experience in Risk Management, Issue and Action Plan remediation, Audit, Compliance, or related...
) prepare 1 LOD monthly report on the status of the CRA risk framework design 1st LoD testing plan to evidence compliance... Act (CRA) Team lead risk management interaction with key business partners (Credit, Compliance, Legal, Finance, Risk...