- Citigroup (New York, NY)
- …O&T COO enables the organization to execute on O&T's Vision and Strategy._ _The O&T Regulatory Exam Management Officer will report to the O&T Regulatory ... Lead and will be leading and coordinating the O&T's regulatory exam management activities (including...technology risk and / or control functions (such as internal audit ) within a financial services organization… more
- 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 (New York, NY)
- Serves as a risk officer for Independent Compliance Risk Management (ICRM)'s Exam Management and Regulatory Liaison Office responsible for the promotion, ... second line (including independent risk, finance, HR, and Legal), Internal Audit to obtain information / documentation...focus **Job Family Group:** Compliance and Control **Job Family:** Regulatory Liaison & Exam Management … 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
- TD Bank (Greenville, SC)
- …assessments, reporting, and other activities + Internal Audit and regulatory exam management , and ongoing tracking/remediation oversight + Strategic, ... US Chief Compliance Officer and the US Compliance Senior Management Team In addition to a regulatory ...support creation of documentation and reports required by external regulatory bodies and TD internal groups +… more
- M&T Bank (New York, NY)
- …in Governance Committees, Forums, and Working Groups, Targeted Risk Assessments, Training Initiatives, Regulatory Exam Management support - Expertise in one ... and testing. + May interact with State and Federal Regulatory Agencies, numerous risk and executive management ,..., lines of business, and support organizations such as Internal Audit and Legal on an ongoing… more
- Morgan Stanley (New York, NY)
- …a plus Required: *Bachelor's Degree *Risk Certifications a plus *For Regulatory Exam Support: Juris Doctorate a plus *For Audit Oversight & Regulatory ... will vary. Regulatory Exam Support: * Provide support & guidance to management to prepare them for regulatory examinations * Partner with Regulatory … more
- MUFG (Tempe, AZ)
- …The role will at times lead global regulatory exam and audit preparation activities and may contribute to management of regional engagements as well. ... details. **Role Summary:** The Global Financial Crimes Division (GFCD) Exam and Audit Management (EAM)...compliance-related regulatory examinations and internal audit reviews; + Supporting the end-to-end management … more
- TD Bank (Falmouth, KY)
- …+ Centralized policy and reports inventories + Internal Audit , regulatory exam , and ongoing supervision management , finding tracking, and remediation ... satisfy regulatory requirements. + Provides responses to regulatory agencies and Internal Audit ....management of the Bank with respect to significant regulatory compliance risk matters. + Empowered to make prudent… more
- Capital One (Richmond, VA)
- …and exams for the organization. Specifically, this associate will: + Drive centralized management of audits; facilitate internal audit interactions (eg, ... Risk Offices, Operational Risk Sub-Steward organizations, Information Technology, Basel Program, Internal Audit , Regulatory Relations, etc. to achieve… more
- TD Bank (Mount Laurel, NJ)
- …with these stakeholders. + Balance the needs of US and Canadian Internal Audit management teams, stakeholders and regulatory authorities. + Advise and ... reviews, serves as liaison for assigned business lines and exam staffs, and serves as primary Relationship Manager for...the needs of US and Canadian Internal Audit management teams, stakeholders and regulatory… more
- Discover (Riverwoods, IL)
- … + In Lieu of Education Experience 10+ years Financial services, Marketing, Compliance, Internal Audit Operations or Vendor Management areas or related. ... Office. This individual will support the compliance and risk management activities within the legal and regulatory ... + 6+ years of Financial services, Marketing, Compliance, Internal Audit Operations, Business Technology, Cyber Security… more
- US Bank (Chicago, IL)
- …with internal and external auditors and exam groups including bank regulators, internal audit , and risk management . Ensure all control activity is ... The successful candidate must be able to meet ongoing regulatory , financial, and internal deliverables and related...reporting and/or submissions . Ability to concisely communicate to management , team members, and/or regulatory audience .… more
- US Bank (Minneapolis, MN)
- … Manager supports internal audit leadership, in providing the Audit Committee and senior management with independent assurance and advisory services ... include but are not limited to executive and senior management ; internal control partners; regulatory ...with each regulator, frequent periodic meetings to brief local exam teams on audit coverage related to… more
- Santander US (Boston, MA)
- …process and control owners for necessary exam related activities including regulatory , Internal Audit and Credit Risk Review. Review materials, ... first line of defense teams, corporate risk functions and internal audit . Responsibilities: + Drive Continuous Improvement...change management , etc.). Ensure all issues (Self-Identified, IA , Credit Risk Review or Regulatory ) pertaining… more
- Discover (Riverwoods, IL)
- …or related field + 2+ years of experience in Financial Services, Marketing, Compliance, Internal Audit Operations, Vendor Management areas, or related field ... lieu of a degree, 6+ years of experience in Financial Services, Marketing, Compliance, Internal Audit Operations, Vendor Management areas, or related field… more
- Discover (Riverwoods, IL)
- … + In Lieu of Education Experience 10+ years Financial services, Marketing, Compliance, Internal Audit Operations or Vendor Management areas or related. ... Statistics or similar + 6+ years of Financial services, Marketing, Compliance, Internal Audit Operations, Business Technology, Cyber Security or Vendor … more
- Fiserv (Milwaukee, WI)
- …Basic to intermediate knowledge of Internal Audit or Exam Management , Internal Controls, Finance, Regulatory Compliance, or Risk management ... industry experience and/or public accounting firm ( internal audit , internal controls, risk management ,...or more of the following: Accounting and Finance Principles, Internal Controls, Risk Management or Regulatory… more
- Discover (Riverwoods, IL)
- …or related field. + 6+ years of experience in Financial Services, Marketing, Compliance, Internal Audit Operations, Vendor Management areas, or related field ... lieu of a degree, 10+ years of experience in Financial Services, Marketing, Compliance, Internal Audit Operations, Vendor Management areas, or related field… more
- Discover (Riverwoods, IL)
- …or related field + 6+ years of experience inFinancial Services, Marketing, Compliance, Internal Audit Operations, Vendor Management areas, or related field ... lieu of a degree, 10+ years of experience inFinancial Services, Marketing, Compliance, Internal Audit Operations, Vendor Management areas, or related field… more