Senior Manager of Compliance overseeing compliance operations related to insurance regulations at Tokio Marine HCC. Leading a team to ensure adherence to regulatory standards and internal guidelines.
About the role
- Compliance Testing Officer responsible for independent compliance testing within RBC’s U.S. Compliance Testing Program. Supporting various stages of the testing lifecycle under direction of Sr. Testing Officer or Management.
Responsibilities
- Conduct testing across the CUSO/IHC, inclusive of transactional testing as well as controls to determine adherence to compliance requirements
- Perform research on regulatory requirements to ensure understanding of subject under review
- Support overall review by completing testing assignments on time and adhering to departmental procedures and templates
- Document testing outcomes, including high quality workpapers and documentation that support conclusions of testing
- Provide regular status updates pertaining to progress against assignments
- Communicate findings to Sr. Tester or Line of Business Partners
- Contribute to issue identification and overall review conclusions
- Responsible for escalating challenges with testing as well as the identification of higher risk issues
- Provides ideas for the enhancement of the Program by leveraging Compliance Advisory team members, Compliance Practices and Assurance team members, Business Partners, and industry research
Requirements
- 1-4 years’ experience in the financial services industry in Compliance Testing, Controls Testing, Quality Assurance, Branch Inspection, Internal Audit or at a financial institutions regulatory agency
- Knowledge of compliance testing methodologies and/or audit experience
- Knowledge of FINRA, SEC, MSRB, FRBNY, CFPB and/or OCC rules and regulations
Benefits
- A comprehensive Total Rewards Program including bonuses and flexible benefits
- Competitive compensation
- Commissions and stock where applicable
- 401(k) program with company-matching contributions
- Health, dental, vision, life and disability insurance
- Paid time-off plan
Job title
Job type
Experience level
Salary
Degree requirement
No Education Requirement
Location requirements
Chief Compliance Officer ensuring compliance with BSP regulations for the first crypto brand in the Philippines. Managing risk compliance, policies, and providing guidance to teams.
LA
Governance, Risk & Compliance Officer focusing on data protection for an international trade company. Developing GRC structures and ensuring compliance with privacy regulations.
Compliance Advisor II supporting enterprise - wide compliance operations at AltaMed. Involves audits, training, policy drafting, and compliance queries with healthcare focus.
Manager, Regulatory Affairs coordinating global regulatory submissions for therapeutic development. Collaborating cross - functionally to meet regulatory agency requirements and ensure compliance.
Senior Scientist responsible for developing and maintaining Core Labeling for pharmaceutical products. Collaborating with global teams to ensure compliance with regulatory requirements and quality standards.
Compliance Intern offering forensic analysis support for Johnson & Johnson. Engaging in audits and analytical tasks in a hybrid work environment in New Brunswick, NJ.
Director, Global Regulatory Leader responsible for global regulatory strategies in innovative medicine for investigational products. Leading cross - functional teams and ensuring regulatory compliance with health authorities.
GRC Analyst supporting Siteimprove's security governance, risk, and compliance team. Engaging with customers, managing vendor security reviews, and enhancing security practices.
Compliance Manager overseeing United Rotorcraft’s compliance initiatives with federal standards. Ensuring audit readiness and managing supplier compliance and training programs.