- SMBC (New York, NY)
- …supports the CPAD Bank Advisory team in building and maintaining a bank regulatory compliance program to help ensure compliance with applicable ... of US Compliance verticals to build a bank regulatory compliance program covering...which the areas/products are subject. **Role Objectives** + Support Bank Advisory Compliance (BAC) team… more
- TD Bank (New York, NY)
- …**Job Description:** **Preferred Qualifications:** We are seeking a Vice President, Fixed Income Compliance Advisory to join TD Securities in NYC. The ideal ... candidate must have compliance advisory experience, supporting fixed income business...day coverage of the Firms Primary Dealer and GSE Compliance programs + Identify regulatory trends and… more
- Byline Bank (Chicago, IL)
- **Objective of Position** : The Compliance Advisory Manager is responsible for overseeing the advisory function of the Compliance Management System. This ... + Develops compliance policies and procedures for compliance with applicable laws, regulations and Bank 's...experience. + JD, CPA, or MBA, preferred. + Certified Regulatory Compliance Manager (CRCM), preferred. + Active… more
- TD Bank (Chicago, IL)
- …details for this role **Job Description:** **Position Summary** Candidate must have compliance advisory experience with background in electronic trading, some ... drafting, updating, and implement relevant policies and procedures. * Provide regulatory / compliance training. * Participate in internal investigations, respond… more
- Bank of America (Pennington, NJ)
- …to the investment insights of Merrill coupled with the banking convenience of Bank of America. The Merrill Advisory Development Program (ADP) Oversight ... view the "EEO is the Law" Supplement, CLICK HERE (https://www.dol.gov/ofccp/regs/ compliance /posters/pdf/OFCCP\_EEO\_Supplement\_Final\_JRF\_QA\_508c.pdf) . Bank of America aims to… more
- Deloitte (Jersey City, NJ)
- Deloitte Risk and Financial Advisory Risk, Data and Regulatory Liquidity - Manager Deloitte Risk and Financial Advisory 's Financial Services Industry (FSI) ... III LCR and NSFR, FR 2052a, SR 10-1 Interagency Advisory on Interest Rate Risk, BCBS 368 - Interest...for liquidity risks, including enhancements related to the changing regulatory environment and compliance with regulatory… more
- SMBC (New York, NY)
- …a competitive portfolio of benefits to its employees. **Role Description** The Advisory Compliance team serves as a regulatory advisory function and is ... Skills** Critical Job Knowledge and Core Competencies/Skills: + Extensive Compliance Advisory experience at a broker dealer....organized with project management skills. + 10+ years of regulatory compliance experience at a broker dealer.… more
- Capital One (Richmond, VA)
- West Creek 3 (12073), United States of America, Richmond, Virginia Anti-Money Laundering, Compliance Advisory Specialist III **Capital One is a diversified ... a great company and a great place to work.** **This Anti-Money Laundering (AML) Compliance Advisory Specialist III role sits within the second line of defense… more
- SMBC (New York, NY)
- …resolved. + Must be well organized with project management skills + 10+ years of regulatory and/or advisory compliance experience at a broker dealer. BA/BS ... group within SMBC Nikko Securities Inc. serves as a regulatory advisory function to the President and... Compliance , IT Risk and Training committees. The Compliance Advisory Director role may manage a… more
- US Bank (Charlotte, NC)
- At US Bank , we're on a journey to do our best. Helping the customers and businesses we serve to make better and smarter financial decisions and enabling the ... is unique in their potential. A career with US Bank gives you a wide, ever-growing range of opportunities...Audit Committee and senior management with independent assurance and advisory services designed to evaluate and improve the effectiveness… more
- City National Bank (Los Angeles, CA)
- …risk management controls, and other internal control objectives and practices. + Provide Bank Regulatory Advisory Support* Work with business partners to ... 8 years of experience in banking compliance , risk, legal, regulatory or related bank regulatory experience + Minimum 8 years of financial services… more
- Huntington National Bank (Detroit, MI)
- …Works with relationships of moderate to high complexity. + Knowledgeable on key compliance and regulatory requirements. + Performs other duties as assigned. ... Description Summary: The Private Bank Wealth Advisor III is the primary client...Degree + At least 5 years of wealth management/financial advisory /sales/relationship management experience in banking, investment management, or insurance… more
- Citizens (Fort Washington, PA)
- Description Compliance Manager - Fair Lending Advisory This role supports the Office of Fair and Responsible Banking's Fair Lending Advisory function by ... work closely with, and report to, the Fair Lending Advisory Team Manager. The role has primary responsibility for...compliance experience in consumer financial services or a regulatory agency. + Working knowledge of both technical and… more
- Capital One (Melville, NY)
- 1307 Walt Whitman (22600), United States of America, Melville, New York Compliance Advisory Manager The Capital One Retail Bank Compliance team is ... of our customers. The Manager will join our Retail Bank Compliance team and act as a...Experience in the financial services industry + CRCM (Certified Regulatory Compliance Manager) certification At this time,… more
- Capital One (Richmond, VA)
- West Creek 3 (12073), United States of America, Richmond, Virginia Compliance Advisory Manager Capital One is a diversified bank that offers a broad array of ... Qualifications:** + Master's Degree or Juris Doctor + CRCM(Certified Regulatory Compliance Manager), CAMS (Certified Anti-Money Laundering Specialist),… more
- Western Union (New York, NY)
- …or other international sanctions enforcement agency; + Experience working in financial crimes compliance at a financial institution or digital bank with a ... **Senior Manager, Global Sanctions and Anti-Bribery & Corruption Advisory - Denver, Colorado or New York, New...your pursuit** Western Union maintains a robust Financial Crimes Compliance program, inclusive of a number of various risk… more
- Citizens (Johnston, RI)
- …other related consumer compliance experience in consumer financial services or a regulatory agency. + 6+ years' experience in Compliance , Risk Management, or ... Description This role supports the Consumer Bank 's First Line of Defense UDAAP Risk function...with business partners to drive meaningful reductions in UDAAP compliance risk. You may use reporting, data analysis and… more
- Discover (Riverwoods, IL)
- …activities, and compliance issues for management and committees. + Prepares for regulatory exams, internal audits and compliance tests. Plan and execute Fair ... development activities. Supports the business in operationalizing legal and regulatory requirements. + Evaluates the adequacy of business policies,...of a degree, 12+ years of experience in Legal, compliance program, or model risk at a bank… more
- MUFG (Tempe, AZ)
- …strategic execution of day-to-day activities relating to sanctions advisory and regulatory change management matters across MUFG Bank globally. The GSCD ... Program is responsible for advising on regulatory / bank policy matters, driving implementation of global...both routine and strategic matters to further develop sanctions compliance expertise overseas. + **Providing sanctions regulatory … more
- USAA (Colorado Springs, CO)
- …be a part of what makes us so special! **The Opportunity** The Assistant Vice President, Bank Compliance Advisory will oversee all aspects in the Advisory ... levels of FSB, GC, CAO and COO management regarding compliance progress, project implementation, management issues and legal/ regulatory...occasional business travel. **What You'll Do:** + Leads the Bank Advisory Compliance team which… more