- Scotiabank (Dallas, TX)
- Director, Global Sanctions Exam Management, Regulatory and Emerging Risks **Requisition ID:** 244379 **Salary Range:** 157,700.00 - 264,200.00 _Please note ... impacts for an organization. The incumbent is responsible to lead and oversee the Global Sanctions Exam Management, Regulatory and Emerging Risks function,… more
- SMBC (Los Angeles, CA)
- …communicating to senior management and relevant parties. + Tracking the status of regulatory inquiries , exams , reviews and findings and circulates ... SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with...Regulatory Relations team is the primary contact for regulatory interactions and exam management for US… 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
- JPMorgan Chase (Jersey City, NJ)
- …the firm's responses to exams ; field, direct, and respond to ad hoc regulatory inquiries ; chair regulatory meetings; and develop reports for senior ... Engagement Management team, you will be responsible for leading regulatory exams and ongoing supervisory engagements. You...JPMorgan Chase to deliver fulsome and consistent responses to regulatory inquiries . + Provide reporting to senior… more
- SMBC (New York, NY)
- … Regulatory Governance Team supports SMBC's Broker-dealer entity in managing regulatory exams and responding to regulatory inquiries as they arise. ... SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with...coordinating the intake and responses to regulatory inquiries and managing regulatory exams .… more
- Travelers Insurance Company (St. Paul, MN)
- …The market regulatory activities involve reviewing and validating responses to inquiries and alleged violations from regulatory bodies, soliciting input from ... facilitate and direct the management and validation of non-financial market regulatory activities, including market conduct exams , interrogatories, surveys, 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
- Capital One (Mclean, VA)
- …management capabilities across diverse functional teams, ensuring continuous audit and regulatory exam readiness. Proven success overseeing complex regulatory ... Senior Business Director - Network Surveillance Monitoring and Regulatory Strategy We are seeking a highly experienced strategic and execution-oriented Senior… 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
- Capital One (Mclean, VA)
- HR Risk Management Advisor, Global Expansion Services- Senior Manager Senior HR Risk Management: Global Expansion Services - Risk Advisor The Global ... Risk Management System of record, FUSE, accurately reflects HR processes, regulatory applicability and control environment. Expected VRA Deliverables and Results +… 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 ... high-impact team at the forefront of managing reputational and regulatory risk. + Work in a dynamic, global... regulatory risk. + Work in a dynamic, global environment with opportunities for innovation and leadership. +… more
- Insight Global (Dallas, TX)
- … regulatory filings such as Form ADV, Form PF and Form U4/U5. *Assist with regulatory exams and inquiries from the SEC, FINRA, and other regulatory ... Job Description Insight Global is seeking to hire an experienced and...Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). The Deputy CCO will play a… more
- TD Bank (New York, NY)
- …Compliance broadly to respond to regulatory inquires, requests for data, and exam inquiries as they relate to Trade 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 **Preferred Qualifications:** +… more
- Bank of America (New York, NY)
- …ensure compliance with applicable laws, rules, and regulations, while responding to regulatory inquiries , other audits, and examinations + Engages in activities ... Reporting. + Assist with responding to and coordinating regulatory inquiries . + Participate in the review...Operational Risk Policies and ensure they are consistent with global and local regulatory practices. + Assist… more
- ADP (Florham Park, NJ)
- …department. This position ensures accurate and timely processing of associate regulatory filings, management of registration data, and coordination with internal ... teams, external vendors, and regulatory authorities to maintain compliance...on all new hire Form U4 reviews. + Open exam windows for new hires for the Series 6,… more
- Coinbase (Madison, WI)
- …class control framework. * Partner with exam management team to respond to all regulatory exams and inquiries . * Work with Market Surveillance team and ... emerging onchain platform - and with it, the future global financial system. To achieve our mission, we're seeking...with high levels of accountability. * Experience with FINRA exams / inquiries . * Knowledge of 15c3-5 Market Access,… 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 ... regulatory /compliance training. + Participate in internal investigations, respond to regulatory inquiries , and coordinate internal and external audits and… more
- Wells Fargo (Charlotte, NC)
- …Fargo, we're more than a financial services leader - we're a global trailblazer committed to driving innovation, empowering communities, and helping our customers ... role, you will:** + Participate in researching and resolving escalated inquiries and complaints with significant organizational impact and identify opportunities to… more
- Bank of America (Charlotte, NC)
- …FLU Audits and respond to Audit requests and inquiries + Participate in Regulatory Meetings and Exams to provide Risk Manager perspective on critical issues ... of key risks within the areas of coverage + Monitor regulatory changes applicable to Global Financial Crimes + Engage with relevant GFC partners to drive… more
- TD Bank (Portland, ME)
- …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