- Scotiabank (Dallas, TX)
- Director, Global Sanctions Exam Management, Regulatory and Emerging Risks **Requisition ID:** 244379 **Salary Range:** 157,700.00 - 264,200.00 _Please note ... impacts for an organization. The incumbent is responsible to lead and oversee the Global Sanctions Exam Management, Regulatory and Emerging Risks function,… more
- SMBC (Los Angeles, CA)
- …communicating to senior management and relevant parties. + Tracking the status of regulatory inquiries , exams , reviews and findings and circulates ... SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with...Regulatory Relations team is the primary contact for regulatory interactions and exam management for US… more
- SMBC (New York, NY)
- … Regulatory Governance Team supports SMBC's Broker-dealer entity in managing regulatory exams and responding to regulatory inquiries as they arise. ... SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with...coordinating the intake and responses to regulatory inquiries and managing regulatory exams .… 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 (Mount Laurel, NJ)
- …with non-routine information + Manages/assists with regulatory reviews including inquiries , audits, and exams + Identifies and leads problem resolution ... for Credit Cards and Unsecured Lending, specifically related to regulatory compliance monitoring. This role will execute monitoring, conduct...We Are:** TD is one of the world's leading global financial institutions and is the fifth largest bank… more
- Capital One (Mclean, VA)
- HR Risk Management Advisor, Global Expansion Services- Senior Manager Senior HR Risk Management: Global Expansion Services - Risk Advisor The Global ... Risk Management System of record, FUSE, accurately reflects HR processes, regulatory applicability and control environment. Expected VRA Deliverables and Results +… more
- Insight Global (Dallas, TX)
- … regulatory filings such as Form ADV, Form PF and Form U4/U5. *Assist with regulatory exams and inquiries from the SEC, FINRA, and other regulatory ... Job Description Insight Global is seeking to hire an experienced and...Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). The Deputy CCO will play a… more
- Bank of America (New York, NY)
- …ensure compliance with applicable laws, rules, and regulations, while responding to regulatory inquiries , other audits, and examinations + Engages in activities ... Reporting. + Assist with responding to and coordinating regulatory inquiries . + Participate in the review...Operational Risk Policies and ensure they are consistent with global and local regulatory practices. + Assist… more
- JPMorgan Chase (Wilmington, DE)
- …also assist the Card CRO Leadership Team with a variety of inquiries , including Leadership Edge, EOS Action Group, budget management, headcount, and organizational ... point of contact to organize key executive and recurring regulatory requests. + Foster communication across all teams to...strength and the diverse talents they bring to our global workforce are directly linked to our success. We… 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 ... applicable state and federal securities laws** + **Assist in regulatory requests and exams , and help manage...and help manage responses to State, FINRA, and SEC inquiries ** + **Help mitigate risk and ensure the firm… more
- ADP (Florham Park, NJ)
- …department. This position ensures accurate and timely processing of associate regulatory filings, management of registration data, and coordination with internal ... teams, external vendors, and regulatory authorities to maintain compliance...on all new hire Form U4 reviews. + Open exam windows for new hires for the Series 6,… more
- Coinbase (Madison, WI)
- …class control framework. * Partner with exam management team to respond to all regulatory exams and inquiries . * Work with Market Surveillance team and ... emerging onchain platform - and with it, the future global financial system. To achieve our mission, we're seeking...with high levels of accountability. * Experience with FINRA exams / inquiries . * Knowledge of 15c3-5 Market Access,… more
- Bank of America (Atlanta, GA)
- …FLU Audits and respond to Audit requests and inquiries + Participate in Regulatory Meetings and Exams to provide Risk Manager perspective on critical issues ... of key risks within the areas of coverage + Monitor regulatory changes applicable to Global Financial Crimes + Engage with relevant GFC partners to drive… 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 ... in special projects, including assisting with adherence to enterprise-wide initiatives including global policies and governance. + Assist with regulatory and… more
- TD Bank (Charlotte, NC)
- …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
- Capital One (Mclean, VA)
- …comprises Community Reinvestment Act (CRA) Strategy & Program Management, Global Policy Affairs Group, Regulatory Relations, Corporate Communications, ... Principal Risk Specialist - CRA Management Within Capital One, Global Enterprise Affairs (GEA) is an organization dedicated to...with team organization and response to internal audits and regulatory compliance exams + Monitor 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 ... sits in Core Compliance and covers the TDS US businesses and certain global businesses, working with regional testing teams across the globe. This Compliance Officer… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …committees for visibility and strategic decision-making. + Prepare for and respond to regulatory exams and inquiries and coordinate with internal audit ... (FFIEC); Office of Thrift Supervision (OTS); Federal Reserve System; state banking regulatory agencies. + Deep understanding of global and domestic regulations… more
- TD Bank (Charlotte, NC)
- …with non-routine information + Manages/assists with regulatory reviews including inquiries , audits, and exams + Identifies and leads problem resolution ... home equity products. **Key responsibilities include:** + Advising on regulatory matters, ensuring compliance with policies and standards, and...We Are:** TD is one of the world's leading global financial institutions and is the fifth largest bank… more
- Wells Fargo (Trenton, NJ)
- …Fargo, we're more than a financial services leader - we're a global trailblazer committed to driving innovation, empowering communities, and helping our customers ... to emerging affluent and high-value customers + Present recommendations for resolving inquiries and service requests regarding customers' accounts + Open and service… more