- 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 (Queens, NY)
- …as Enterprise Technology, & Operations. **Responsibilities:** + Lead and maintain the Global Regulatory Reporting (GRR) Risk Management Framework, ensuring the ... the Controllers Organization that will report up through the Global Head of Regulatory Reporting. The position...control frameworks. + Proven track record in issues management, regulatory exam response and control oversight. +… 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
- 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
- S&P Global (New York, NY)
- …and report ongoing activities, emerging themes and key risks. **Implement the regulatory exam management strategy** In supporting the implementation of the ... action plans in the Americas, ensuring compliance with regulatory expectations and promoting a global and... regulatory exam management strategy, you will: +… 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
- 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 (Getzville, NY)
- …+ Participating in ad-hoc requests, special projects and assisting in responding to regulatory exams . + Responding to inquiries or requests from ... Lastly, the analyst may also participate in ad-hoc requests, special projects and regulatory exams directed by other organizations within the compliance or legal… 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 (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 (New York, NY)
- …dealing with non-routine information + Manages/assists with regulatory reviews including inquiries , audits, and exams + Deep knowledge and understanding of ... + 7+ years experience **Customer Accountabilities:** + Provides expert/specialized regulatory compliance and prudential risk management guidance on AML/ATF/Sanctions/ABAC… 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 ... 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 (New York, NY)
- …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