- 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)
- …with non-routine information + Manages/assists with regulatory reviews including inquiries , audits, and exams + Identifies and leads problem resolution ... + Experience with compliance testing and monitoring frameworks + Exposure to regulatory exams and examination processes + Background in issue management,… 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
- Wells Fargo (Morristown, 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
- Citigroup (Jersey City, NJ)
- …+ Gathering, reviewing, investigating and analyzing trade data as well as responding to regulatory inquiries from each of the major regulatory bodies (eg ... issues that are identified. + Participating in ad-hoc requests, special projects and regulatory exams directed by other organizations within the compliance or… more
- Citigroup (Jersey City, NJ)
- …execution, and reporting of compliance independent assessment reviews and compliance and regulatory issue validation activities for the global Volker Independent ... Matters. + Participating in discussions with the firm's regulators in connection with inquiries , inspections, and exams . + Participating in the development and… 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)
- …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 ... 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 ... independently with minimal supervision **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 ... 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)
- …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)
- …with non-routine information + Manages/assists with regulatory reviews including inquiries , audits, and exams + Identifies and leads problem resolution ... experience **Desired Skills & Experience:** + JD, CRCM or Regulatory consumer compliance commissioning experience + Strong understanding of...We Are:** TD is one of the world's leading global financial institutions and is the fifth largest bank… more