- ASK Staffing (Jersey City, NJ)
- …and our third-party vendors. The position will also assist with leading department audits/ regulatory exams and will liaise with key Retail Branch Network, ... research and conduct problem resolution between cross-groups on check deposit inquiries Skills Required: Strong written and oral communication skills Strong… more
- TD Bank Group (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 Surveillance… more
- BitGo (New York, NY)
- …desktop guidance. Collaborate cross-functionally with internal teams and contribute to regulatory exams and internal/external audits. Transaction Monitoring (TM) ... our clients to securely navigate the digital asset space. With a global presence and multiple Trust companies, BitGo serves thousands of institutions, including… more
- Bank of America (New York, NY)
- …other regulatory matters in accordance with enterprise-wide standards. - Support regulatory exams to ensure consistent exam practices, successful ... Line of Business (LOB). Key responsibilities include coordination of internal audits, regulatory exams , and other monitoring and inspection reviews, preparing… more
- SMBC (New York, NY)
- … Relations liaison for high priority engagements including management of complex regulatory examinations and inquiries . + Advise and support regulatory ... SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with...benefits to its employees. **Role Description** The Director, Sr. Regulatory Officer works with the Regulatory Relations… more
- Bank of America (New York, NY)
- …impacts in the client selection and product expansion processes + Participating in Regulatory Meetings and Exams to provide Risk Manager perspective on critical ... Global Financial Crimes Executive - Correspondent Banking Charlotte,...inquiries + Participating in industry forums and monitors regulatory expectations, emerging legislation and regulation, political scrutiny, litigation… 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. + **Briefings and ... to develop clear deliverables, milestone, and project plans for regulatory initiatives, new Global Control Room deployments, and Global Control Room… more
- S&P Global (New York, NY)
- …reporting for senior IBC leadership. + Manage and centralize responses to regulatory exams , questionnaires, and information requests. + Partner with Compliance ... the overall control environment. **The Role** Reporting to the Global Head of In-Business Control, this role leads a...2nd line risk and control functions and responding to regulatory inquiries . + Strategic thinker with strong… more
- CIBC (New York, NY)
- … and audits by Internal Audit; + Assisting in the preparation of written responses to regulatory exams and inquiries ; + Performing risk assessments of US ... Compliance Officer is primarily responsible for 1) advising CIBC's global Swaps OTC Derivatives businesses on CFTC, SEC, and...new US and cross-border business initiatives; 4) assisting with regulatory exams by regulators such as NFA… more
- TD Bank (New York, NY)
- …+ **Experience with management reporting/reporting routines (excluding Board reporting), regulatory exams , or senior-level stakeholder management.** + ... and communication skills **Key Responsibilities:** + **Coordinate annual audit exams and audit inquiries .** + **Manage audit...Lead role in managing and in responding to periodic exams /audits and various regulatory bodies related to… 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 Communications 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 **Education & Experience:**… more
- TD Bank (New York, NY)
- …with non-routine information + Manages/assists with regulatory reviews including inquiries , audits, and exams + Identifies and leads problem resolution ... + Experience with compliance testing and monitoring frameworks + Exposure to regulatory exams and examination processes + Background in issue management,… more
- Bank of America (New York, NY)
- …in regulator meetings, liaise with regulators to provide periodic updates on monitoring/ exam results, and respond to inquiries from regulators and other ... management, the Board of Directors or committee thereof, external auditors and regulatory agencies. The Portfolio Specialist works together with the Credit Review… more
- Bank of America (New York, NY)
- …Experience interacting with regulatory agencies and /or reg exams . * Regulatory reporting experience and/or experience in a global markets regulatory ... tri-annual basis this associate will be responsible for leading regulatory exam preparatory activities while also leading...tasks for regulatory reports. * Respond to regulatory agencies and internal control partners on inquiries… more
- Wells Fargo (Carteret, NJ)
- …Fargo, we're more than a financial services leader - we're a global trailblazer committed to driving innovation, empowering communities, and helping our customers ... to emerging affluent and high-value customers + Present recommendations for resolving inquiries and service requests regarding customers' accounts + Open and service… more
- Wells Fargo (Middletown, NJ)
- …Fargo, we're more than a financial services leader - we're a global trailblazer committed to driving innovation, empowering communities, and helping our customers ... to emerging affluent and high-value customers + Present recommendations for resolving inquiries and service requests regarding customers' accounts + Open and service… 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
- Citigroup (Jersey City, NJ)
- …trading in equities and fixed income, employee personal trading and various regulatory inquiries . + Gathering, reviewing, investigating and analyzing trade data ... as well as responding to regulatory inquiries from each...identified. + Participating in ad-hoc requests, special projects and regulatory exams directed by other organizations within… more
- TD Bank (New York, NY)
- …to mid- range planning (eg 6-12 months) + Manages regulatory reviews including inquiries , audits, and exams **Who We Are** TD Securities offers a wide range ... and debt securities. + Assist in the development and build out of a global Investment Banking Compliance program and Control Room across Canada, US, Europe and Asia… more
