- SMBC (Los Angeles, CA)
- …communicating to senior management and relevant parties. + Tracking the status of regulatory inquiries , exams , reviews and findings and circulates ... SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with...Regulatory Relations team is the primary contact for regulatory interactions and exam management for US… more
- Scotiabank (Tampa, FL)
- …for the TAO and GTB business. + Provide Compliance support for Compliance Testing, Audits, Regulatory Exams , and inquiries for the TAO and GTB business. + ... Director, US Bank Regulatory Compliance, Global Transaction Banking **Requisition...of relevant policies and procedures, risk assessments, responding to regulatory inquiries , etc. + Sound judgment in… more
- TD Bank (Charlotte, NC)
- …with non-routine information + Manages/assists with regulatory reviews including inquiries , audits, and exams + Identifies and leads problem resolution ... We are seeking an individual to manage fair banking-related regulatory exams and internal audits. This individual...We Are:** TD is one of the world's leading global financial institutions and is the fifth largest bank… more
- JPMorgan Chase (Jersey City, NJ)
- …the firm's responses to exams ; field, direct, and respond to ad hoc regulatory inquiries ; chair regulatory meetings; and develop reports for senior ... Engagement Management team, you will be responsible for leading regulatory exams and ongoing supervisory engagements. You...JPMorgan Chase to deliver fulsome and consistent responses to regulatory inquiries . + Provide reporting to senior… more
- SMBC (New York, NY)
- … Regulatory Governance Team supports SMBC's Broker-dealer entity in managing regulatory exams and responding to regulatory inquiries as they arise. ... SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with...coordinating the intake and responses to regulatory inquiries and managing regulatory exams .… more
- TD Bank (New York, NY)
- … inquires and internal audit requests, including, requests for data, and exam inquiries as they relate to Global Control Room. + **Issues Management:** Track ... to develop clear deliverables, milestone, and project plans for regulatory initiatives, new Global Control Room deployments,...6-12 months) + Manages regulatory reviews including inquiries , audits, and exams **Education & Experience:**… more
- Travelers Insurance Company (St. Paul, MN)
- …The market regulatory activities involve reviewing and validating responses to inquiries and alleged violations from regulatory bodies, soliciting input from ... facilitate and direct the management and validation of non-financial market regulatory activities, including market conduct exams , interrogatories, surveys, and… more
- TD Bank (New York, NY)
- …mid- range planning (eg 6-12 months) + Manages regulatory reviews including inquiries , audits, and exams **Education & Experience:** + Bachelors degree or ... a team(s) of specialists/professionals providing advice, guidance and expertise on regulatory requirements and assisting business units to manage their regulatory… more
- Bank of America (New York, NY)
- …on a regular basis and challenged and escalated where necessary + Responds to inquiries from regulatory agencies and internal control partners (eg, Audit and ... Discrete when handling confidential information **Desired Skills:** + Experience interacting with regulatory agencies and /or reg exams . + Experience in… more
- TD Bank (Mount Laurel, NJ)
- … Assurance is a trusted advisor providing guidance and challenge on regulatory inquiries , responses and interactions for Platforms and Technology. This ... role is accountable for processes and coordination supporting the regulatory program. Ensures appropriate stakeholder engagement and approvals to provide accurate… more
- Capital One (Mclean, VA)
- …management capabilities across diverse functional teams, ensuring continuous audit and regulatory exam readiness. Proven success overseeing complex regulatory ... Senior Business Director - Network Surveillance Monitoring and Regulatory Strategy We are seeking a highly experienced strategic and execution-oriented Senior… more
- TD Bank (New York, NY)
- …dealing with non-routine information + Manages/assists with regulatory reviews including inquiries , audits, and exams + Deep knowledge and understanding of ... in special projects, including assisting with adherence to enterprise-wide initiatives including global policies and governance. + Assist with regulatory and… more
- TD Bank (New York, NY)
- …mid- range planning (eg 6-12 months) + Manages regulatory reviews including inquiries , audits, and exams **Education & Experience:** + Bachelors degree or ... high-impact team at the forefront of managing reputational and regulatory risk. + Work in a dynamic, global... regulatory risk. + Work in a dynamic, global environment with opportunities for innovation and leadership. +… more
- Insight Global (Dallas, TX)
- … regulatory filings such as Form ADV, Form PF and Form U4/U5. *Assist with regulatory exams and inquiries from the SEC, FINRA, and other regulatory ... Job Description Insight Global is seeking to hire an experienced and...Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). The Deputy CCO will play a… more
- Insight Global (Los Angeles, CA)
- Job Description A client of Insight Global is seeking a hands-on operations and client servicing role supporting both advisors and clients. The ideal candidate will ... ensuring accuracy and speed. * Respond promptly and professionally to client inquiries , addressing administrative needs and coordinating with advisors. * Serve as… more
- TD Bank (New York, NY)
- …mid- range planning (eg 6-12 months) + Manages regulatory reviews including inquiries , audits, and exams **Education & Experience:** + Bachelors degree or ... for assuring that alert review processes align with firm requirements and global regulatory expectations. **Department Overview:** Our team of trusted… more
- TD Bank (New York, NY)
- …Compliance broadly to respond to regulatory inquires, requests for data, and exam inquiries as they relate to Trade Surveillance. + Briefings and ... the Surveillance program is robust, adaptive, and aligned with global regulatory expectations. The ideal candidate will...6-12 months) + Manages regulatory reviews including inquiries , audits, and exams **Preferred Qualifications:** +… more
- ADP (Florham Park, NJ)
- …department. This position ensures accurate and timely processing of associate regulatory filings, management of registration data, and coordination with internal ... teams, external vendors, and regulatory authorities to maintain compliance...on all new hire Form U4 reviews. + Open exam windows for new hires for the Series 6,… more
- Bank of America (New York, NY)
- …ensure compliance with applicable laws, rules, and regulations, while responding to regulatory inquiries , other audits, and examinations + Engages in activities ... Reporting. + Assist with responding to and coordinating regulatory inquiries . + Participate in the review...Operational Risk Policies and ensure they are consistent with global and local regulatory practices. + Assist… more
- Coinbase (Madison, WI)
- …class control framework. * Partner with exam management team to respond to all regulatory exams and inquiries . * Work with Market Surveillance team and ... emerging onchain platform - and with it, the future global financial system. To achieve our mission, we're seeking...with high levels of accountability. * Experience with FINRA exams / inquiries . * Knowledge of 15c3-5 Market Access,… more