- Unknown (Jersey City, NJ)
- Vice President , Regulatory Exam Lead About the Company Expanding provider of investment management, research & trading services Industry Financial ... Classifications B2B About the Role The Company is seeking a Regulatory Exam Lead, Vice President , to join their team. The successful candidate will be… more
- SMBC (Jersey City, NJ)
- …Sumitomo Mitsui Banking Corporation (SMBC) is seeking a dynamic Compliance Training Vice President to join our Compliance Department Training Team. In ... in the US and a working knowledge of the regulatory requirements in other countries in the Americas. The...and HR.. + Manage and oversee the process of exam requests, ensuring that all necessary procedures are followed.… more
- Unknown (New York, NY)
- Associate Vice President , Regulatory Relations About the Company Top-tier investment bank Industry Investment Banking Type Privately Held About the Role The ... tasks such as scheduling, coordination, and documentation, as well as setting up exam SharePoint sites, tracking regulatory requests and responses, and preparing… more
- Unknown (New York, NY)
- …reports, and support regulatory exam preparation. Applicants for the Vice President , Operational Risk position at the company should be experienced ... Vice President , Operational Risk About the... Vice President , Operational Risk About the Company Reputable financial...field, with a strong background in governance, controls, and regulatory compliance. The role requires a leader who is… more
- JPMorgan Chase (New York, NY)
- …first and second-line CIB Markets businesses and their respective regulators. + Lead regulatory examinations through the exam lifecycle, as well as ongoing ... Lead and other exam partners in preparation for, and engagement in, regulatory engagements. + Work with REMs and engagement managers across LOB and functions,… more
- JPMorgan Chase (New York, NY)
- …active listening and summarizing complex information + Knowledge of regulators' exam processes and regulatory matters **Preferred qualifications, capabilities, ... risk management and compliance at JPMorgan Chase. As a Regulatory Strategy Lead, you will be at the forefront...you will be at the forefront of managing critical regulatory relationships and ensuring our firm remains strong and… more
- Wells Fargo (New York, NY)
- …Industrials Investment Banking team at Wells Fargo is seeking a talented and experienced Vice President Investment Banker to play a pivotal role in the growth ... Products vertical. **In this role, you will:** + The Vice President will be responsible for independently...**Job Expectations:** + Registration for Securities Industry Essentials (SIE) exam must be completed within 90 days of hire… more
- SMBC (Jersey City, NJ)
- …Description** Within the Compliance Operations Department, the KYC Advisory & Controls Vice President is responsible for promoting oversight and control within ... This role will require tracking of all audit and exam related requests as well as ensure a timely...SMBC and Head Office. The KYC Advisory & Controls Vice President may direct the day-to-day work… more
- Wells Fargo (New York, NY)
- …Fargo. **About this role:** Wells Fargo is seeking a Lead Investment Banker, Vice President with our Healthcare team within Corporate and Investment Banking ... to travel up to 75% of the time + Registration for Securities Industry Essentials (SIE) exam must be completed within 90 days of hire date if it is not available for… more
- BMO Financial Group (New York, NY)
- BMO's Financial Institutions Group (FIG) is hiring an experienced Associate or Vice President to join its Insurance Investment Banking team in New York. You will ... in client presentations + Monitors client, client industry, and regulatory agencies for potential changes that may impact client...coaching skills + Sound and professional judgement + SIE Exam , Series 79, and Series 63 must be acquired… more
- Mizuho Corporate Bank (New York, NY)
- …compliance. SummaryThe Regulatory Relations Team is seeking an Assistant Vice President ("AVP") to primarily support and coordinate supervisory examinations, ... in examinations. Responsibilities include, but not limited to, setting up exam SharePoint site, drafting regulatory responses with stakeholders, developing… more
- American Express (New York, NY)
- …is based in New York City, Salt Lake City, or Phoenix and reports to the Vice President , Audit Leader of IAG's Global Compliance team. The ideal candidate will ... experience with other enterprise / operational risk management processes including regulatory exam management / regulatory affairs, issues management, new… more
- TD Bank (New York, NY)
- …this role. **Job Description:** TD Securities is seeking an experienced and strategic Vice President to join our Compliance Control Room, focusing on portfolio ... partners) to develop clear deliverables, milestone, and project plans for regulatory initiatives, new Global Control Room deployments, and Global Control Room… more
- State of New York Mortgage Agency (New York, NY)
- …their financial and physical health. The Programs Manager will support the Vice President of Strategic Preservation Initiatives and other Statewide Asset ... affordable housing and increase homeownership throughout New York State. A Civil Service exam is not required for this position. Candidates must meet the minimum… more
- State of New York Mortgage Agency (New York, NY)
- …to be carried in the legal department, at the discretion of the Senior Vice President /General Counsel and the Deputy Counsel for Compliance. QUALIFICATIONS: + ... affordable housing and increase homeownership throughout New York State. A Civil Service exam is not required for this position. Candidates must meet the minimum… more
- State of New York Mortgage Agency (New York, NY)
- …coordinate HCR's wide array of support services. Job Summary: Reporting to the Vice President , Contracts and Administration (VP), the Director of Procurement is ... affordable housing and increase homeownership throughout New York State. A Civil Service exam is not required for this position. Candidates must meet the minimum… more
