- Citigroup (New York, NY)
- …O&T COO enables the organization to execute on O&T's Vision and Strategy._ _The O&T Regulatory Exam Management Officer will report to the O&T Regulatory ... Lead and will be leading and coordinating the O&T's regulatory exam management activities (including...technology risk and / or control functions (such as internal audit ) within a financial services organization… more
- Citigroup (Tampa, FL)
- …and critical thinking skills **Job Family Group:** Compliance and Control **Job Family:** Regulatory Liaison & Exam Management **Time Type:** Full time ... This position is part of the Human Resources (HR) regulatory management team formed to lead HR's...continuous improvement. + Engage with 2nd lines of defense, Internal Audit , HR Risk and Controls and… more
- CIBC (Chicago, IL)
- …**Serves as the Credit Risk Management representative for regulatory , Internal Audit and self-identified deficiency remediation ... regulators. + Collaborate with team members in Compliance and Internal Audit to ensure a consistent approach...of risk management , audit , legal, regulatory or exam management experience.… more
- TD Bank (Mount Laurel, NJ)
- …support for the Financial Crime Risk Management (FRCM) program, specifically including: + Internal Audit , Regulatory Exam and ongoing supervision ... Financial Crime Risk Management **Job Description:** AML Exam and Regulatory Relations (US) provides ...+ Works independently, applies expert knowledge of regulator and Internal Audit management tools and… more
- TD Bank (Mount Laurel, NJ)
- …support for the Financial Crime Risk Management (FRCM) program, specifically including: + Internal Audit , Regulatory Exam and ongoing supervision ... support for data and other complex requests arising from Regulatory Exams, Internal Audits and Ongoing Supervision...area. + Working closely with other members of the Exam and Audit management team,… more
- Citigroup (New York, NY)
- …and conduct of regulatory and IA exams in accordance with Global Regulatory Exam Management & Oversight Standard + Provide oversight and guidance ... and quality control of actual responses to inquiries from IA and US Regulatory Agencies, + Coordinate...with other stakeholders. + Help ERM Pillars prepare for IA reviews and provide guidance throughout the exam… more
- TD Bank (Mount Laurel, NJ)
- …assessments, reporting, and other activities + Internal Audit and regulatory exam management , and ongoing tracking/remediation oversight + Strategic, ... US Chief Compliance Officer and the US Compliance Senior Management Team In addition to a regulatory ...support creation of documentation and reports required by external regulatory bodies and TD internal groups +… more
- Citigroup (New York, NY)
- …**Responsibilities** * Manage complex regulatory exams and Internal Audit reviews that require significant program management across risk data teams, ... of Regulatory Interactions with a background in exam management /coordination, management of ...influencing, facilitation, and partnering skills. Ability to build strong internal and external networks * Exceptional writing skills, with… more
- M&T Bank (New York, NY)
- …in Governance Committees, Forums, and Working Groups, Targeted Risk Assessments, Training Initiatives, Regulatory Exam Management support - Expertise in one ... and testing. + May interact with State and Federal Regulatory Agencies, numerous risk and executive management ,..., lines of business, and support organizations such as Internal Audit and Legal on an ongoing… more
- Citizens (Boston, MA)
- … management skills. + Experience in regulatory and internal audit interaction, exam management / coordination, and issue management / resolution ... of Executive Briefings + Collaborate closely with executive and senior management to ensure appropriate stakeholder involvement in regulatory activities… more
- Morgan Stanley (New York, NY)
- …a plus Required: *Bachelor's Degree *Risk Certifications a plus *For Regulatory Exam Support: Juris Doctorate a plus *For Audit Oversight & Regulatory ... will vary. Regulatory Exam Support: * Provide support & guidance to management to prepare them for regulatory examinations * Partner with Regulatory … more
- MUFG (Tempe, AZ)
- …The role will at times lead global regulatory exam and audit preparation activities and may contribute to management of regional engagements as well. ... details. **Role Summary:** The Global Financial Crimes Division (GFCD) Exam and Audit Management (EAM)...compliance-related regulatory examinations and internal audit reviews; + Supporting the end-to-end management … more
- Capital One (Richmond, VA)
- …and exams for the organization. Specifically, this associate will: + Drive centralized management of audits; facilitate internal audit interactions (eg, ... Risk Offices, Operational Risk Sub-Steward organizations, Information Technology, Basel Program, Internal Audit , Regulatory Relations, etc. to achieve… more
- US Bank (Chicago, IL)
- …with internal and external auditors and exam groups including bank regulators, internal audit , and risk management . Ensure all control activity is ... The successful candidate must be able to meet ongoing regulatory , financial, and internal deliverables and related...reporting and/or submissions . Ability to concisely communicate to management , team members, and/or regulatory audience .… more
- M&T Bank (Buffalo, NY)
- …including preparing materials, coordinating responses from various individuals, aiding in exam management (template folders, collection of first day letter ... with senior leaders of Technology, Cybersecurity, the Risk Division and Internal Audit . + Effectively communicate applicable requirements to cross-functional… more
- Santander US (Boston, MA)
- …process and control owners for necessary exam related activities including regulatory , Internal Audit and Credit Risk Review. Review materials, ... first line of defense teams, corporate risk functions and internal audit . Responsibilities: + Drive Continuous Improvement...change management , etc.). Ensure all issues (Self-Identified, IA , Credit Risk Review or Regulatory ) pertaining… more
- Navy Federal Credit Union (Vienna, VA)
- …failures, Issues and Events management , facilitating risk and compliance remediation, internal and external audits and regulatory + Oversee quality control ... regulations, and values + Ensure risk control recommendations/solutions support optimal internal /external exam / audit preparedness + Acquire, process diverse… more
- TD Bank (Jacksonville, FL)
- …in alignment with risk appetite + Participates in responding to periodic exams/audits by regulatory bodies and Internal Audit , to determine level of BSA/AML ... in delivery of initiatives related to risk assessment, internal /external exam support, etc. **Depth & Scope:**...provide guidance for complex situations + Complies with applicable internal and external audit and regulatory… more
- Navy Federal Credit Union (Vienna, VA)
- …issues and event management , facilitating risk and compliance remediation, internal and external audits, and regulatory requirements over technology risk. ... regulations, and values. + Ensure risk control recommendations/solutions support optimal internal /external exam / audit preparedness. + Acquire, process… more
- Discover (Riverwoods, IL)
- …or related field + 2+ years of experience in Financial Services, Marketing, Compliance, Internal Audit Operations, Vendor Management areas, or related field ... lieu of a degree, 6+ years of experience in Financial Services, Marketing, Compliance, Internal Audit Operations, Vendor Management areas, or related field… more