U.S. compliance rules, regulations, and procedures. Develop and execute monitoring and testing of business activities, including the... of benefits to its employees. Role Description The successful candidate will serve as the Chief Compliance Officer (CCO...
Officer to join its global compliance team within the Legal and Compliance Department. This role will support the... key business processes and critical business risks and controls Documenting a written testing plan and compliance...
as outlined the in the annual monitoring plan Perform testing and monitoring of compliance with firm policies and conduct risk...Job Description: Job Title Compliance Officer – Investment Bank Compliance – Origination & Advisory – Capital Markets...
Job Description: Job Title Compliance Officer – Investment Bank Compliance – Origination & Advisory – Capital Markets... and inspections Interact with federal and state regulators, Support the global compliance monitoring program by providing input...
, highly effective compliance program. The Chief Compliance Officer of Figure Lending will lead the Lending compliance team... and oversee the related compliance and regulatory functions. The Chief Compliance Officer of Figure Lending will assume primary...
verification checks as outlined in the annual monitoring plan Perform testing and monitoring of compliance with firm policies...Job Description: Job Title Investment Bank Compliance Officer – Origination & Advisory Corporate Title Vice...
RGFO Chief Compliance Officer. The ideal candidate will have extensive experience in broker-dealer activities and a deep... reporting, regulatory advice/guidance, policy drafting, training, and related monitoring and testing activities...
role will report to the Chief Compliance Officer, Global Compliance. Responsibilities: Develop and implement... arrangements; establishment of consumer compliance key risk indicators and ongoing monitoring of metrics relating to key market...
independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm's responses..., and are able to adapt to a changing regulatory landscape. Swap Dealer Compliance seeks a Compliance Officer to advise internal...
Position Title Commercial Real Estate Business Risk & Internal Controls Officer Location New York, NY 10018... Job Summary The Commercial Real Estate Business Risk & Internal Controls (“CRE-RIC”) Officer will help to design, build, transform...
AVP, First Line Risk Officer - Commercial Finance provides complex support and expertise to business units through... compliance with relevant rules and regulations. May serve as a resource on risk. Responsibilities Identifying Risk - Creates...
of the credit risk models used for Basel, stress-testing, loss reserves for Citi's wholesale credit portfolios..., monitoring, validation), which includes interaction with Business, Risk, Finance, Model Validation, Internal and External Audit...
for electronic communication and other enterprise programs. RESPONSIBILITIES Communication Monitoring Serve as an escalation... expanded/enhanced targeted reviews. Develop, execute and oversee Enhanced Monitoring & Supplemental/Manager Review programs...
Job Description Reporting to the Chief Administrative Officer for Finance, the Head of Finance Controls... central processes and controls and managing and monitoring key metrics related to issue management, control design...
and initiatives and all audit activities are conducted / executed / delivered in compliance with governing regulations, internal... Participant or Officer in Charge (OIC) for assigned projects, processes, and units or participates as a team member under the...
in the Americas region. Working with Compliance stakeholders to develop and implement privacy risk assessment and testing... Director of Americas DPPO will lead the data privacy and protection compliance team for MUFG Americas, including the US, Canada...
leader in this role will report to the Chief Enterprise Risk Officer, and will be accountable for providing governance... Oversight Leader will also implement the enterprise-wide Risk and Compliance Framework for Tech and Security, including the...
and liaison between internal (Front Office Trading, global Middle Office and Back Office teams, Compliance, IT, Market Activity... Monitoring, Project Management) and external entities (Clients, Broker/Dealers etc.). You will develop various skills...
and liaison between internal (Front Office Trading, global Middle Office and Back Office teams, Compliance, IT, Market Activity... Monitoring, Project Management) and external entities (Clients, Broker/Dealers etc.). You will develop various skills...
Trading, global Middle Office and Back Office teams, Compliance, IT, Market Activity Monitoring, Project Management... Futures, Credit Derivatives, etc. This includes trade monitoring, workflow control, and trade validation to ensure timely...
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