- 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
- Bank of America (New York, NY)
- …impacts in the client selection and product expansion processes + Participating in Regulatory Meetings and Exams to provide Risk Manager perspective on critical ... Global Banking Lead New York, New York;Charlotte, North...inquiries + Participating in industry forums and monitors regulatory expectations, emerging legislation and regulation, political scrutiny, litigation… more
- TD Bank (New York, NY)
- …inquires and internal audit requests, including, requests for data, and exam inquiries as they relate to Global Control Room. + **Briefings and ... to develop clear deliverables, milestone, and project plans for regulatory initiatives, new Global Control Room deployments, and Global Control Room… 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 ... for assuring that alert review processes align with firm requirements and global regulatory expectations. **Department Overview:** Our team of trusted… 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
- Bank of America (New York, NY)
- …Experience interacting with regulatory agencies and /or reg exams . * Regulatory reporting experience and/or experience in a global markets regulatory ... tri-annual basis this associate will be responsible for leading regulatory exam preparatory activities while also leading...tasks for regulatory reports. * Respond to regulatory agencies and internal control partners on inquiries… 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
- Citizens (New York, NY)
- … regulatory examinations related to licensing and registration + Draft responses to regulatory inquiries and exams related to licensing & registration, ... owner for licensing, registration, onboarding/offboarding, continuing education, and associated regulatory programs. The ideal candidate is proactive, solutions-focused, and… 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
- 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 ... special projects, including assisting with adherence to enterprise-wide initiatives including global policies and governance. + Coordinate regulatory and audit… more
- TD Bank (New York, NY)
- …providing product perspective and guidance in governance frameworks, audits and regulatory exams , controls development and monitoring, issue management, ... + Acts as a Subject Matter Expert for product-related inquiries + May lead business plans leveraging Acquisition and...+ Product management / project management / audit & regulatory exam management + Credit card industry… 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)
- …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
- 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)
- …dealing with non-routine information + Manages/assists with regulatory reviews including inquiries , audits, and exams + Deep knowledge and understanding of ... CAMS or CFE preferred **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
- Marex (New York, NY)
- …events and remediation efforts, development of policies and procedures, and assisting with regulatory exams . This role may also expand to cover other business ... Diversified. Resilient. Dynamic. Marex is a global financial services platform, providing essential liquidity, market...Complete or assist in completing US Swap Dealer related regulatory inquiries + Complete or assist in… more