• Regulatory & Exam Management

    Citigroup (New York, NY)
    Serves as a risk officer for Independent Compliance Risk Management (ICRM)'s Exam Management and Regulatory Liaison Office responsible for the ... of focus **Job Family Group:** Compliance and Control **Job Family:** Regulatory Liaison & Exam Management **Time Type:** Full time **Primary Location:** New… more
    Citigroup (04/17/24)
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  • Regulatory and Exam

    Citigroup (New York, NY)
    …, the 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 ... Engagement Senior Lead and will be leading and coordinating the O&T's regulatory exam management activities (including regular and ad hoc meetings) globally,… more
    Citigroup (04/26/24)
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  • Regulatory Officer - Associate

    SMBC (New York, NY)
    Regulatory Team within SMBC's Planning Department to assist with the execution of regulatory relations and exam management for SMBC. This role is ... **Qualifications and Skills** + Exam management and strong project management skills supporting exams and regulatory projects for the financial services… more
    SMBC (04/19/24)
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  • Risk Regulatory Engagement - Senior…

    Citigroup (New York, NY)
    …Credit + Solid understanding of Regulatory Interactions with a background in exam management /coordination, management of regulatory meetings and ... The objective of this role is to drive the execution of regulatory engagements across Independent Risk Management , to ensure the organization is responsive,… more
    Citigroup (05/10/24)
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  • Compliance Officer , Park Avenue Securities

    Guardian Life (New York, NY)
    …and advisors, and applicable rules and regulations from within a current regulatory environment + Excellent project management skills + Results orientation ... The Chief Compliance Officer of Park Avenue Securities (PAS) will be...(PAS) will be responsible for representing the firm to regulatory bodies and other key constituents as well as… more
    Guardian Life (04/05/24)
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  • Cyber Governance, Risk, and Compliance Analyst,…

    City of New York (New York, NY)
    …TO PERMANENT CYBER SECURITY ANALYST AND THE QUALIFIED CANDIDATES WHO FILES FOR THE EXAM MAY BE ELIGIBLE TO APPLY> Established in 1805, the New York City Department ... through the collaboration of: The Bureau of Technology Strategy & Project Management The Bureau of Network Technology & Telecommunication Services The Office of… more
    City of New York (05/15/24)
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  • Cyber Risk Analyst, Office of Chief Information…

    City of New York (New York, NY)
    …TO PERMANENT CYBER SECURITY ANALYST AND THE QUALIFIED CANDIDATES WHO FILES FOR THE EXAM MAY BE ELIGIBLE TO APPLY> Established in 1805, the New York City Department ... through the collaboration of: The Bureau of Technology Strategy & Project Management The Bureau of Network Technology & Telecommunication Services The Office of… more
    City of New York (05/16/24)
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  • Director, Scusa CCO, Head of Broker Dealer…

    Scotiabank (New York, NY)
    …collaboratively with key stakeholders, including other Compliance functions, Internal Control, Regulatory Relations, Legal, Risk Management , and AML Compliance. ... a full range of investment banking, credit and risk management products and services relevant to the financing and...for every future! **Purpose:** Acts as the Chief Compliance Officer for the US broker dealer and Head of… more
    Scotiabank (05/14/24)
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  • Head of Private Credit Compliance

    Wellington (New York, NY)
    …tools, and assist with enhancing and maintaining team recordkeeping practices + Support regulatory inquiry and exam management in relation to Wellington's ... **About Us** **Wellington Management ** offers comprehensive investment management capabilities...the role is to work with the Chief Compliance Officer to build-out, manage and execute the compliance infrastructure… more
    Wellington (04/16/24)
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  • Banking Compliance Training and Communications…

    TD Bank (New York, NY)
    …monitoring, risk assessments, reporting, and other activities + Internal Audit and regulatory exam management , and ongoing tracking/remediation oversight + ... planning, and business/operations support for the US Chief Compliance Officer and the US Compliance Senior Management ...Compliance Officer and the US Compliance Senior Management Team In addition to a regulatory more
    TD Bank (05/16/24)
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  • Senior Group Risk Specialist

    TD Bank (New York, NY)
    …etc. Recently the team's mandate has expanded to develop and manage an end-to-end exam management process for Risk Management . In this new process ... Business:** Risk Management **Job Description:** The Office of the Chief Risk Officer (OCRO) Regulatory Engagement & Strategic Planning group was formed in… more
    TD Bank (05/16/24)
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