- Raymond James Financial, Inc. (St. Petersburg, FL)
- …to identify, research, analyze and resolve very complex issues. Must have knowledge of compliance testing or audit practices and a deep understanding of a ... * Collaborates across Compliance teams to maintain a risk-based Compliance Testing program in accordance with the standard and methodology. * Finalizes test… more
- Charles Schwab (Westlake, TX)
- …dynamic and engaging compliance professional to join the team as a Senior Manager to conduct risk-based compliance testing within our Broker-Dealer and ... the integrity of the firm. The department performs an advisory , monitoring, testing , and education role to...Familiarity with the execution of Second Line of Defense compliance testing including compliance risk… more
- Discover (Riverwoods, IL)
- …financial future with Discover. **Job Description:** **What You'll Do** + The Senior Manager Compliance Programs role within Compliance will support ... Marketing product line and business operations and will be responsible for compliance advisory activities specific to consumer protection laws impacting those… more
- Byline Bank (Chicago, IL)
- **Objective of Position** : The Compliance Advisory Manager is responsible for overseeing the advisory function of the Compliance Management System. ... + JD, CPA, or MBA, preferred. + Certified Regulatory Compliance Manager (CRCM), preferred. + Active member...and laws. + Knowledge and experience in monitoring and testing compliance processes and procedures. + Solid… more
- Capital One (Richmond, VA)
- West Creek 3 (12073), United States of America, Richmond, Virginia Compliance Advisory Manager Capital One is a diversified bank that offers a broad array of ... advice, influence adjustments to the processes, procedures, and controls + Involvement with compliance testing and third party compliance + Maintain strong… more
- Deloitte (Princeton, NJ)
- Financial Services Risk Management Manager Our practitioners have the opportunity to engage a diverse and challenging portfolio of projects which include the design ... critical to the success of our clients. As a Manager , you will have opportunities to: + Learn how...+ Direct working experience related to product management, regulatory compliance , risk management or controls oversight + Direct working… more
- KPMG (San Francisco, CA)
- **Business Title:** Manager , Infrastructure Capital Projects & Climate Advisory (Broadband) **Requisition Number:** 112145 - 11 **Function:** Advisory **Area ... new areas of inspiration and expand your capabilities, then consider a career in Advisory . KPMG is currently seeking a Manager , Infrastructure Capital Projects &… more
- Discover (Riverwoods, IL)
- …Maintains a high level of awareness and knowledge of Fair Banking compliance requirements (including Americans with Disabilities Act, Limited English Proficiency and ... planning and executing Fair Banking Program elements including the Statistical Testing program, an enterprise-wide fair banking risk assessment, vendor management,… more
- KPMG (Chicago, IL)
- **Business Title:** Manager , Infrastructure Capital Projects & Climate Advisory (Real Estate) **Requisition Number:** 112189 - 32 **Function:** Advisory ... new areas of inspiration and expand your capabilities, then consider a career in Advisory . KPMG is currently seeking a Manager , Infrastructure Capital Projects &… more
- KPMG (Mclean, VA)
- **Business Title:** Manager , Infrastructure Capital Projects & Climate Advisory (Transportation) **Requisition Number:** 112128 - 97 **Function:** Advisory ... new areas of inspiration and expand your capabilities, then consider a career in Advisory . KPMG is currently seeking a Manager , Infrastructure Capital Projects &… more
- TD Bank (New York, NY)
- …**Job Description:** **Preferred Qualifications:** We are seeking a Vice President, Fixed Income Compliance Advisory to join TD Securities in NYC. The ideal ... candidate must have compliance advisory experience, supporting fixed income business...+ Interact with federal and state regulators + Perform testing and monitoring of compliance with firm… more
- City National Bank (Los Angeles, CA)
- **SR. COMPLIANCE ANALYST - BROKER DEALER INVESTMENT ADVISORY ** **WHAT IS THE OPPORTUNITY?** Colleague is responsible for assisting CNS Branch Manager with ... daily supervision of Broker Dealer and Investment Advisory activity. Responsible for reviewing and approving new account documentation, trade blotters, written and… more
- Citizens (Johnston, RI)
- …a liaison, interfacing with business partners to drive meaningful reductions in UDAAP compliance risk. You may use reporting, data analysis and monitoring of this ... may additionally be responsible for the execution of certain monitoring or testing activities to help identify impacts bank policies, procedures or processes have… more
- TD Bank (Chicago, IL)
- …details for this role **Job Description:** **Position Summary** Candidate must have compliance advisory experience with background in electronic trading, some ... audits and inspections. * Interact with federal and state regulators * Perform testing and monitoring of compliance with firm policies for covered business… more
- KPMG (Columbus, OH)
- **Business Title:** Manager , Advisory Insights Research **Requisition Number:** 111568 - 72 **Function:** Advisory **Area of Interest:** **State:** OH ... about your future as we are, join our team. KPMG is currently seeking a Manager , Advisory Insights Special Projects to join our Advisory Insights… more
- Deloitte (Jersey City, NJ)
- …Risk and Financial Advisory Risk, Data and Regulatory Liquidity - Manager Deloitte Risk and Financial Advisory 's Financial Services Industry (FSI) Risk, ... operating model design and implementation, risk assessment and management, and controls testing engagements across three lines of defense + Use a combination of… more
- City National Bank (Jersey City, NJ)
- ** MANAGER IT & OPS RISK ADVISORY **...by SLoD, which includes assessment, reporting, metrics, monitoring and testing to mitigate risks + Plays an active role ... **WHAT IS THE OPPORTUNITY?** The IT Risk Advisor Manager will be focus on leading the implementing frameworks...implementing routines to track, monitor and report issues in compliance with new end-to-end issue management process for effective… more
- Alight (NC)
- …our Advisor Services group. **Responsibilities** + Managing execution of client advisory gigs/projects and assigned deliverables. + Understanding of business POV and ... application of these to all projects. + Coordinating team members on larger advisory projects, ensures timely tracking, and updates to client status. You will also… more
- Lincoln Financial Group (Columbus, OH)
- …this opportunity. **Requisition #:** 73135 **The Role at a Glance** As the Tax Manager - Planning, Audits & Advisory , you will provide subject matter expertise ... positively influences and socializes tax planning opportunities. * Collaborates with tax compliance team on ensuring tax positions and transactions make it into the… more
- UL, LLC (Albany, NY)
- The Senior Business Manager leads the renewable (Wind, Solar, Storage) advisory business in the Americas, under the overall direction of the Global Director of ... to drive high performance and morale. + Ensure understanding of and compliance with all established policies and requirements. + Communicate and exemplify ULs… more