- 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
- US Bank (Hackensack, NJ)
- … Exams . Review and approve shareholder statements, shareholder applications, regulatory documents and tax forms. Assist Senior Relationship Managers with daily ... Ability to build strong working relationships by promptly responding to client inquiries and understanding clients' priorities while working to ensure ongoing client… more
- Insight Global (Purchase, NY)
- …with internal controls over statutory reporting. o Respond to department of insurance inquiries and state exam requests. o Assist with analysis and draft ... keep, and process your private information, please review Insight Global 's Workforce Privacy Policy: https://insightglobal.com/workforce-privacy-policy/ . Skills and Requirements… 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
- TD Bank (New York, NY)
- …with non-routine information + Manages/assists with regulatory reviews including inquiries , audits, and exams + Identifies and leads problem resolution ... risk assessment, reporting and other activities;** + **Internal Audit, regulatory exam , and ongoing supervision management, finding...We Are:** TD is one of the world's leading global financial institutions and is the fifth largest bank… 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
- HSBC (New York, NY)
- …key role in facing regulators (CFTC, NFA etc.) and providing response to trade reporting regulatory exams and inquiries + Supervision of regular meetings and ... (CFTC, CSV and SEC SBSR) + Work with Operations Regulatory Project Managers responsible for other global ...Operations Regulatory Project Managers responsible for other global regulation (EMIR, HKMA, etc.), as appropriate, to ensure… 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
- SMBC (New York, NY)
- …liquidity metrics framework / governance, funding strategies, CFP, etc. Respond to regulatory inquiries / exams and provide information on the aforementioned ... SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with...liquidity management as needed. + Support SMBC in any exams or requests from the Federal Reserve Bank and/or… 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 ... and home equity products. Key responsibilities include advising on regulatory matters, ensuring compliance with anti-bribery and corruption policies, and… 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 ... 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