- Bank of America (New York, NY)
- …other regulatory matters in accordance with enterprise-wide standards. - Support regulatory exams to ensure consistent exam practices, successful ... Line of Business (LOB). Key responsibilities include coordination of internal audits, regulatory exams , and other monitoring and inspection reviews, preparing… more
- Scotiabank (Tampa, FL)
- …for the TAO and GTB business. + Provide Compliance support for Compliance Testing, Audits, Regulatory Exams , and inquiries for the TAO and GTB business. + ... Director, US Bank Regulatory Compliance, Global Transaction Banking **Requisition...of relevant policies and procedures, risk assessments, responding to regulatory inquiries , etc. + Sound judgment in… more
- MUFG (Irving, TX)
- …will be to support the global sanctions compliance team for responding to regulatory exams and information requests outside of an exam , manage sanctions ... on financial crimes controls related to audit and testing, regulatory exams and issues management. The ideal... regulatory Keep in Touch (KIT) and other regulatory inquiries /meetings. Interact with regulators and third… more
- Wells Fargo (Charlotte, NC)
- …a servant leadership style, and the ability to represent the firm in regulatory exams and industry engagements. **Key Responsibilities:** **Compliance & ... + Act as a primary point of contact for regulatory inquiries related to the inventory and...associated compliance programs. + Prepare and present materials for regulatory exams , audits, and supervisory interactions with… more
- Bank of America (Charlotte, NC)
- …program success + Supports the overall management of and research required for regulatory exams , internal audits, and other monitoring and inspection reviews and ... Sr Business Control Specialist - Global Payment Operations Business Risk and Controls Charlotte,... exam management including direct and indirect audit exam interaction, regulatory responses, issues management +… more
- SMBC (New York, NY)
- … Relations liaison for high priority engagements including management of complex regulatory examinations and inquiries . + Advise and support regulatory ... SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with...benefits to its employees. **Role Description** The Director, Sr. Regulatory Officer works with the Regulatory Relations… more
- Truist (Charlotte, NC)
- …relevant field or Juris Doctor (JD) strongly preferred. 2. Experience in supporting regulatory exams and responses to examiners and internal auditors, etc. ... relevant field or Juris Doctor (JD) strongly preferred. 2. Experience in supporting regulatory exams and engaging with examiners and internal auditors, etc.… 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 Financial Crimes Executive - Correspondent Banking Charlotte,...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
- S&P Global (New York, NY)
- …reporting for senior IBC leadership. + Manage and centralize responses to regulatory exams , questionnaires, and information requests. + Partner with Compliance ... the overall control environment. **The Role** Reporting to the Global Head of In-Business Control, this role leads a...2nd line risk and control functions and responding to regulatory inquiries . + Strategic thinker with strong… more
- CIBC (New York, NY)
- … and audits by Internal Audit; + Assisting in the preparation of written responses to regulatory exams and inquiries ; + Performing risk assessments of US ... Compliance Officer is primarily responsible for 1) advising CIBC's global Swaps OTC Derivatives businesses on CFTC, SEC, and...new US and cross-border business initiatives; 4) assisting with regulatory exams by regulators such as NFA… more
- TD Bank (Charlotte, NC)
- …+ **Experience with management reporting/reporting routines (excluding Board reporting), regulatory exams , or senior-level stakeholder management.** + ... and communication skills **Key Responsibilities:** + **Coordinate annual audit exams and audit inquiries .** + **Manage audit...Lead role in managing and in responding to periodic exams /audits and various regulatory bodies related to… more
- Halliburton (Houston, TX)
- Benefits Operations Analyst - Global Programs Date: Jul 5, 2025 Location: Houston, TX, US, 77032 We are looking for the right people - people who want to innovate, ... world's largest providers of products and services to the global energy industry. Job Duties + Project management of...Act as escalation point for ad hoc plan participant inquiries + Assist in the implementations of new vendors,… more
- Global Widget (Tampa, FL)
- It's time you found a career with an employer that values your vital contributions. At Global Widget, we believe in taking care of our people so they can take care ... include safety training, anti-harassment training, professional licensure, and aptitude exams and certifications. + Recruits, interviews, and facilitates the hiring… 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 (Portland, ME)
- …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
- Bank of America (Providence, RI)
- …in regulator meetings, liaise with regulators to provide periodic updates on monitoring/ exam results, and respond to inquiries from regulators and other ... management, the Board of Directors or committee thereof, external auditors and regulatory agencies. The Portfolio Specialist works together with the Credit Review… 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
- Raymond James Financial, Inc. (Denver, CO)
- …are identified, assessed, and implemented. + Organize and support the firm's response to regulatory exams , inquiries , and audits related to fraud risk ... risk typologies. + Financial services operations, products, and transaction channels. + Regulatory change management and exam response processes. + Concepts,… more