- Bloomberg (New York, NY)
- …with our Shared Risk and Compliance team. **What's The Role?** As the Global Exam Management and Regulatory Inquiries Officer, you will work with the ... and inquiries and to help develop the global regulatory engagement program to ensure a...Head of Risk and ComplianceShared Services, by: + Strengtheningthe regulatory exam and inquiries framework… 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
- Citigroup (New York, NY)
- …Responsibilities: Contributes to the engagement and oversight of Citi's Finance global regulatory agenda, including: + Centrally coordinates Citi's Finance ... global regulatory agenda to help manage and/or support on-site or...Finance functions to develop cohesive and comprehensive responses to regulatory inquiries , on a timely basis. Process… more
- TD Bank (Mount Laurel, NJ)
- …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
- SMBC (New York, NY)
- …trading. + Serve as the primary contact with regulators during exams and inquiries , managing all regulatory exams . + Oversee the preparation and ongoing ... parent, global operating model. + Direct experience managing regulatory exams (particularly SEC exams ). + Fund compliance experience (public… more
- Citigroup (New York, NY)
- …and lead people across cultures at a senior level + Experience in managing regulatory exams and relationships with examiners, auditors, etc. + Awareness of ... of new regulatory requirements. + Managing strategy and responses to regulatory examinations, reviews and inquiries and internal and external investigations,… more
- JPMorgan Chase (New York, NY)
- …as a key liaison with regulators, internal auditors, and external examiners, managing regulatory exams , inquiries , and remediation efforts. + Provide ... + Develop and enhance policies, procedures, and controls to ensure compliance with global regulatory requirements; manage the annual review of compliance policy… more
- Scotiabank (New York, NY)
- …proactively adapting the AML risk framework accordingly. + Support and lead regulatory exams , audits, and inquiries across multiple jurisdictions, ... the director provides strategic oversight of AML controls, ensuring compliance with global regulatory expectations and industry best practices. This position… more
- Citigroup (New York, NY)
- …and lead people across cultures at a senior level + Experience in managing regulatory exams and relationships with examiners, auditors, etc. + Awareness of ... of new regulatory requirements. + Managing strategy and responses to regulatory examinations, reviews and inquiries and internal and external investigations,… more
- TD Bank (Mount Laurel, NJ)
- …with non-routine information + Manages/assists with regulatory reviews including inquiries , audits, and exams + Identifies and leads problem resolution ... Nordstrom. Primary responsibilities for this role include issue management, regulatory change management oversight, complaints, risk assessments, project/initiatives, … 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 ... for this role. **Job Description:** **Preferred Qualifications:** TD Securities' Regulatory Compliance Management Framework (RCM) is implementing new programs and… 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
- TD Bank (Mount Laurel, NJ)
- …dealing with non-routine information + Manages/assists with regulatory reviews including inquiries , audits, and exams + Deep knowledge and understanding of ... of data analysis tools **Customer Accountabilities:** + Provides expert/specialized regulatory compliance and prudential risk management guidance on AML/ATF/Sanctions/ABAC… 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
- 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 ... desirable but not required + Knowledge of operations, finance, regulatory reporting, sales and trading, at a global... regulatory reporting, sales and trading, at a global financial institution. + Firm understanding of securities and… more
- TD Bank (Mount Laurel, NJ)
- …with non-routine information + Manages/assists with regulatory reviews including inquiries , audits, and exams + Identifies and leads problem resolution ... experience **Desired Skills & Experience:** + JD, CRCM or Regulatory consumer compliance commissioning experience + Strong understanding of...We Are:** TD is one of the world's leading global financial institutions and is the fifth largest bank… more
- Scotiabank (New York, NY)
- …non-compliance with laws and regulations. + Assist team in responding to regulatory inquiries , initiatives, audits and examinations. + Support reviews through ... committed to results, in an inclusive and high-performing culture. ** Global Banking and Markets** Global Banking and...A minimum of 5 years of compliance, audit or regulatory exam support experience with at least… more
- TD Bank (Mount Laurel, NJ)
- …with non-routine information + Manages/assists with regulatory reviews including inquiries , audits, and exams + Identifies and leads problem resolution ... Proactively advises the business of new and changed Compliance regulatory and/or policy changes + Formulates relevant and meaningful...We Are:** TD is one of the world's leading global financial institutions and is the fifth largest bank… more
- Zurich NA (Trenton, NJ)
- …plans and agreed upon action items. + Participate in compliance-related queries, including regulatory exams and insurance department inquiries . + Act as ... book of business. S/he will work closely with our Global Colleagues and Business Unit Heads of Underwriting to...knowledge of line/s of business and the legal and regulatory environment. + Strong listening, verbal and written communication… more
- SMBC (New York, NY)
- …to senior management, internal audit, and regulators + Support SMBC Americas during regulatory exams pertaining to assigned product set for ILST/RRP and ... SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with...with the annual development cycle, while simultaneously responding to inquiries from the various lines of defense + Proactively… more