- Bloomberg (New York, NY)
- Global Regulatory Exams and Inquiries ...team. **What's The Role?** As the Global Exam Management and Regulatory Inquiries ... and inquiries and to help develop the global regulatory engagement program to ensure a...Risk and Compliance Shared Services, by: + Strengthening the regulatory exam and inquiries framework… more
- American Express (New York, NY)
- …with the second-line Global Risk & Compliance (GRC) teams. This Director of Regulatory & Audit Exam Management will be responsible for ECM's engagement with, ... to regulators, internal audit and second line of defense inquiries and exams . Successful execution of these...help to strengthen ECM's risk and control environment. The Regulatory & Audit Exam team will support… 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
- American Express (New York, NY)
- … adherence) + Partner with CFR strategy teams and advise on responses to exam inquiries + Track resolution of requests and ensure that significant risks ... Management Exam Management team is to support CFR internal and external exams and audits, ensure satisfactory exam results and timely closure of findings,… 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 ... 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
- 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
- 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
- TD Bank (New York, NY)
- …Compliance broadly to respond to regulatory inquires, requests for data, and exam inquiries as they relate to Communications Surveillance. + Briefings and ... the Surveillance program is robust, adaptive, and aligned with global regulatory expectations. The ideal candidate will...6-12 months) + Manages regulatory reviews including inquiries , audits, and exams **Education & Experience:**… 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
- TD Bank (New York, NY)
- …Pacific. Responsibilities include transactional due diligence, client onboarding, escalations, and regulatory inquiries in each of these jurisdictions + ... and refine the sanctions compliance program, ensuring alignment with global regulatory expectations and directly improving P&L...literacy + Represents sanctions in audits, internal reviews, and regulatory exams + Serves as SME while… 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
- 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
- Citigroup (Jersey City, NJ)
- …trading in equities and fixed income, employee personal trading and various regulatory inquiries . + Gathering, reviewing, investigating and analyzing trade data ... as well as responding to regulatory inquiries from each...identified. + Participating in ad-hoc requests, special projects and regulatory exams directed by other organizations within… 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
- 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
- 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 ... of data analysis tools **Customer Accountabilities:** + Provides expert/specialized regulatory compliance and prudential risk management guidance on AML/ATF/Sanctions/ABAC… more