and other key stakeholders Assist in the execution of risk assessment framework Develop and deliver management reporting... in compliance, audit, regulatory, or risk management functions Knowledge of laws and regulations such as FINRA rules, SEC rules...
and other key stakeholders Assist in the execution of risk assessment framework Develop and deliver management reporting... in compliance, audit, regulatory, or risk management functions Knowledge of laws and regulations such as FINRA rules, SEC rules...
team (M&T) and Compliance Risk Assessment teams executes their activities in accordance with the established program... are being achieved across all compliance testing disciplines and Compliance Risk Assessment. Role Objectives Quality...
for Compliance based on risk assessment and continuous monitoring. Alongside the Director for Internal Audit US Compliance, lead the...Job Summary Job Description What is the opportunity? As a Senior Manager – Compliance, you will be responsible...
of the applicable regulatory framework. Participates in the annual risk assessment process of applicable laws... of benefits to its employees. Role Description SMBC's Compliance Department Americas Division is seeking a VP of Swap Dealer...
standards, COSO and risk assessment practices. Understanding of the technical aspects of accounting and financial reporting...AUDITOR II- COMPLIANCE WHAT IS THE OPPORTUNITY? The auditor will work within a team and on occasion...
Bank's compliance risk management practices, Regulatory Compliance, governance processes and the system of internal... to conduct consumer compliance engagements and projects with a focus on compliance risk management practices and regulatory...
performed by the Compliance Practices Group (CPG) (i.e., compliance risk assessment, issues management, regulatory change..., Project Management, Quality Assurance (QA), Regulatory Compliance, Risk Management, Strategic Thinking Additional...
Compliance (“FCC”), including BSA/AML/OFAC/Anti-Fraud/Anti-Bribery and Corruption (“ABC”) Risk Assessment Program, focusing..., internal audit, banking regulators, and Head Office. Role Objectives Establish a comprehensive FCC Risk Assessment...
Practices (GCP), and Good Laboratory Practices (GLP). Risk Assessment: Identify and assess regulatory risks associated... and compliance efforts. In this critical role, you will be responsible for ensuring that our biotechnological innovations align...
(es). Build, enhance and maintain 'Risk Registers' for each business, with real-time input and assessment of residual risks. Work... closely with ORE, Issue Management and Internal Controls teams to ensure in the assessment of residual risk. Work...
and operating effectiveness of the Bank's risk management practices, Regulatory Compliance governance processes and the system... of the annual risk assessment and audit plan- Identifies, interprets and designs testing to adhere to regulatory requirements...
controls for firm's security and success As a Control Manager Executive Director within our risk assessment team..., you will lead and develop an improved control framework that promotes a continuous and integrated approach to risk assessment...
assessment, routing, action plan tracking, policy and procedure maintenance, and drafting a weekly digest of laws, rules....D. Degree preferred. Former regulator, compliance, and/or attorney/legal background. Established relationships with industry...
, ensuring robust controls for firm's security and success As a Control Manager Executive Director within our risk assessment... assessment. Your role will involve ensuring that the team aids in top-down risk analysis, immediate control issue detection...
technical concepts to non-technical stakeholders. Experience in vendor management, risk assessment, and executive reporting... frameworks, and configuration strategies to optimize performance. Ensure architectural compliance by reviewing technical designs...
governance controls. Participate in shared data management services and governance risk and control self-assessment activities... compliance. This director position is an enterprise role leading Enterprise Data Governance within the Chief Data Office...
assessment checklists, questionnaires, presentations and diagrams Work closely with security teams to ensure that our services... expertise and scale. We empower communities and businesses to make better decisions on risk, faster. At Verisk, you'll...
and Controls (GRC) Office. This group’s focus is on enhancing our risk management and regulatory compliance capabilities to ensure... success of the Governance, Risk and Controls (GRC) Office at Royal Bank of Canada (RBC). The Quality Control Review (QCR...
, consistent application of risk policy and credit procedures, analysis of underwriting standards and practices, and the assessment... to mitigate credit risk to the firm. As a Senior Credit Review Director within the Consumer Credit Review Group, you will lead...