- Vanguard (Malvern, PA)
- Compliance Director, Regulatory Exam Response Advocate for all investors Vanguard has been in trusted with over $8 trillion in client assets by doing what's ... compliance support. As a trusted leader, the Compliance Director, Regulatory Exam Response...optimal effectiveness of management and mitigation of regulatory and compliance risks, including driving collaboration… more
- Citigroup (New York, NY)
- …as a risk officer for Independent Compliance Risk Management (ICRM)'s Exam Management and Regulatory Liaison Office responsible for the promotion, ... **Job Family Group:** Compliance and Control **Job Family:** Regulatory Liaison & Exam Management **Time Type:** Full time **Primary Location:** New… more
- Citigroup (Tampa, FL)
- …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...Chief Administrative Office and help ensure timely response to regulatory requests and exam responses and help… more
- Comerica (Dallas, TX)
- …with the Line of Business and Compliance on key projects related to compliance and regulatory matters. Testing/ Exam * Collaborate with the Line of ... relationships with business partners, legal, compliance , and other key stakeholders. Regulatory Compliance * Lead and manage implementation of new or revised… more
- US Bank (Cincinnati, OH)
- …they become apparent through the course of regulatory exams. The Regulatory Exam Manager implements the exam management process, which may include: + ... skills and discover what you excel at-all from Day One. **Job Description** The Regulatory Exam Team oversees and implements the Bank's formal examination … more
- Citigroup (New York, NY)
- …in area of focus **Job Family Group:** Compliance and Control **Job Family:** Regulatory Liaison & Exam Management **Time Type:** Full time **Primary ... and continually enhancing the framework to identify, assess, control, and monitor regulatory communication. + Providing regular updates to management (including… more
- Celtic Bank (Salt Lake City, UT)
- …BANK + Develop a strategic framework to support all external audit and exam management activities. + Establish related objectives and milestones. Execute and ... coordinating all Strategic Lending Partnership ("SLP") audit activities and management of Celtic Bank regulatory exams, including...plan, as needed. + Point of contact for the management and coordination of information requests, exam … more
- MUFG (Tempe, AZ)
- … regulatory and audit engagements. The role will at times lead global regulatory exam and audit preparation activities and may contribute to management ... will provide more details. **Role Summary:** The Global Financial Crimes Division (GFCD) Exam and Audit Management (EAM) Assistant Vice President position sits… more
- Morgan Stanley (Tampa, FL)
- …and negative news processes for Morgan Stanley. *Primary Responsibilities:* The Financial Crimes Exam management AVP will be responsible for managing the firm's ... internal exams processes. *TheFinancial Crimes Exam management AVPwill:* * Lead production of accurate and timely responses for testing and identified exams *… more
- JPMorgan Chase (Columbus, OH)
- As a Supplier Assurance Services Exam Management Lead within this group, you will drive, develop and oversee responses to informational requests and concerns ... programs, lifecycle, execution practices and supplier risk awareness in order to support collective exam management activities + Partner with CTPO Exam … more
- Capital One (Richmond, VA)
- …Audits or Exams + Certified Risk Management Assurance (CRMA) or Certified Regulatory Compliance Manager (CRCM) + Lean, Agile, Six Sigma, Business Process ... the risks altogether. This position, Risk Manager (Audit & Exam Engagement), will apply your project/process management ... of audit & exams; facilitate internal audit and regulatory interactions (eg, development of management responses,… more
- JPMorgan Chase (New York, NY)
- …& Securities Regulatory Engagement team is a centralized resource within Risk Management and Compliance that manages regulatory exams and ongoing ... your expertise to JPMorgan Chase. As part of Risk Management and Compliance , you are at the...exam partners in preparation for, and engagement in, regulatory activity + Lead regulatory examinations through… more
- City National Bank (Wilmington, DE)
- …Risk and Controls (GRC) Office. This group's focus is on enhancing our risk management and regulatory compliance capabilities to ensure the bank is ... regulatory exam preparation + Coordinate with exam management teams covering other exams to...a compliance perspective + Provide advice on compliance and regulatory risk matters related to… more
- PennyMac (Moorpark, CA)
- …homeownership through the complete mortgage journey. **A Typical Day** The **Senior Regulatory Compliance Analyst** , working under general supervision, performs ... is complying with various mortgage-related federal and state regulations. The **Senior Regulatory Compliance Analyst** will: + Gather, investigate, and review… more
- City of New York (New York, NY)
- …Services NM II, to function as a Program, Policy, and Domestic Violence Regulatory Compliance Specialist who will: Under administrative direction of the ... ELIGIBILE FOR A 6.1.9 TITLE CHANGE OR REACHABLE ON EXAM #1121 Domestic Violence Services (DVS) provides a variety of...response to agency mandates, increased need for DVS services, regulatory compliance and regular data requests from… more
- JPMorgan Chase (New York, NY)
- …within Firmwide Regulatory Strategy and is a centralized resource supporting Risk Management and Compliance in managing regulatory exams and ongoing ... your expertise to JPMorgan Chase. As part of Risk Management and Compliance , you are at the...organization + Deep knowledge of and experience with regulators' exam processes and regulatory matters + A… more
- City National Bank (Los Angeles, CA)
- …with regulatory agencies, including exam management and other regulatory affairs. + For Banking Compliance related roles, Certified Compliance ... and sustainable growth. **What you will do** + Maintain regulatory relationships & exam management *... management . + Develop, Maintain and Enhance Regulatory Compliance Management * Manage and… more
- CVS Health (Austin, TX)
- …managing Sarbanes-Oxley (SOX) compliance efforts. Responsible for supporting various regulatory requests, states exam , external inquiries, and consults teams ... and collaborate across many teams. + Lead oversight for risk management supporting regulatory commitments and compliance requirements. + Provide timely… more
- Citigroup (Tampa, FL)
- … skills + Experience in regulatory and Internal Audit interaction, exam management / coordination, and issue management / resolution **Development Value:** ... The objective of this role is to drive the execution of regulatory interactions across Risk Management , to ensure the organization is responsive, agile and… more
- SMBC (New York, NY)
- … Regulatory Team within SMBC's Planning Department to assist with the execution of regulatory relations and exam management for SMBC. This role is ... Exam management and strong project management skills supporting exams and regulatory projects...+ Financial services industry with 2+ years' experience within Compliance or Governance department in a foreign banking organizatio… more