Compliance Testing Examiner Location: Jersey City, NJ/ Hybrid Duration: 6 months Description: Business Overview...: Demonstrate the firm’s commitment to compliance by maintaining a compliance testing review program that evaluates the firm...
President of BSA/AML Compliance Monitoring and Testing. The Vice President will principally lead a team within the AML M&T group... professionals to support monitoring and testing engagements to validate the efficacy of regulatory compliance internal controls. The...
of the Compliance Monitoring and Testing team to perform testing of its broker/dealer (SMBC Nikko Securities America, INC... of a small team of compliance professionals to support monitoring and testing engagements to validate the efficacy of regulatory...
is essential. Role Objectives Supporting examiner-in-charge of Compliance Monitoring and Testing engagements. Assists in the... certification a plus. Has a Compliance Testing, Bank Regulatory or Internal Audit background. Able to work Independently...
) Testing Team is responsible for assessing compliance with AML/BSA and Sanctions laws and regulations. The QA Testing VP... Compliance policies, procedures, processes, as well as applicable laws and regulations. The QA Testing VP - KYC is responsible...