- Citigroup (Tampa, FL)
- …and meetings with regulators + Attends regulatory meetings with IA Regulatory and Exam Management Group Manager, documenting key messages from the ... anticipate potential IA requests + Supports the Regulatory and Exam Management Group...Citi's first and second line functions, as well as internal audit , to proactively identify regulatory… 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
- Citigroup (Tampa, FL)
- …and typologies identified by US and global regulators; Regulatory and Internal Audit -related initiatives and exam inquiries; and other Enterprise-wide ... is responsible for supporting AML Detection Risk Frameworks in regulatory change management by ensuring regulatory...Track and provide status updates on key initiatives, including regulatory and Internal Audit requests… 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
- Wells Fargo (Boynton Beach, FL)
- …for follow-up and scheduled contacts with customers + Provide information to internal partners and external sources to further enhance the customer experience + ... customers and partners **Desired Qualifications:** + Successfully completed Financial Industry Regulatory Authority (FINRA) Series 6 and Series 63 examinations (or… more
- Wells Fargo (Delray Beach, FL)
- …peers in Business Banking Advisory Services, Mortgage and Wealth and Investment Management to best meet the previously identified needs and goals, consistent with ... business + Knowledge and understanding of Branch Banking compliance controls, risk management , and loss prevention + Ability to follow policies, procedures, and… more