- Citigroup (New York, NY)
- …CAO enables the organization to execute on the TBE Vision and Strategy. The Technology Regulatory Exam Management Officer will report to the NAM & ... International Technology Regulatory Exam Management Senior Lead...Utilize strong analytical skills to evaluate controls, identify control issues , review project plans and corrective actions to identify… more
- Citigroup (Tampa, FL)
- …CAO enables the organization to execute on the TBE Vision and Strategy. The Technology Regulatory Exam Management Senior Analyst (C12) will report to the NAM ... & International Technology Regulatory Exam Management Senior Lead....Utilize strong analytical skills to evaluate controls, identify control issues , review project plans and corrective actions to identify… more
- JPMorgan Chase (New York, NY)
- …examination reports. + Communicate with the relevant Global Technology personnel regarding regulatory issues , findings by the regulators, and remediation related ... regulatory requests. Provide feedback and strategic advice regarding responses to regulatory requests. + Prepare personnel (and senior management ) for… more
- JPMorgan Chase (New York, NY)
- …examination reports. + Communicate with the relevant Global Technology personnel regarding regulatory issues , findings by the regulators, and remediation related ... regulatory requests. Provide feedback and strategic advice regarding responses to regulatory requests. + Prepare personnel (and senior management ) for… more
- Citigroup (Tampa, FL)
- …critical examination findings/ issues , decisions, roadblocks, or delivery concerns to management . + Understand regulatory frameworks and key regulatory ... leader by developing and promoting a standardized approach to regulatory management across the organization. + Promotes... management and regulators + Ability to challenge management and escalate issues when appropriate +… more
- Bank of America (Scranton, PA)
- …exam management including direct and indirect audit exam interaction, regulatory responses, issues management . This also includes the support for ... risk self-identification and oversight of the issues management lifecycle, Single Process Inventory ...to enhance QA program success + Supports the overall management of and research required for regulatory … more
- JPMorgan Chase (Plano, TX)
- … issues + Prepare internal reporting/metrics and ongoing analyses of all global regulatory activities + Strengthen exam management framework to ensure ... The Corporate Third Party Oversight (CTPO) Exam Management team has a pivotal...regulatory meetings + Provide regular updates to CTPO management regarding exam related activities, including, but… more
- TD Bank (Fort Lauderdale, FL)
- …and other activities + Centralized policy and reports inventories + Internal Audit, regulatory exam , and ongoing supervision management , finding tracking, ... CCO and the Compliance Executive Team The Audit and Exam Management team of US Compliance Operations...the discipline + Adheres to internal policies/procedures and applicable regulatory guidelines + Keeps abreast of emerging issues… more
- Citigroup (New York, NY)
- …focus; Advanced degree a plus **Job Family Group:** Compliance and Control **Job Family:** Regulatory Liaison & Exam Management **Time Type:** Full time ... Serves as a risk officer for Client's Regulatory Management responsible for the promotion,...facts and circumstances (as applicable) to respond to potential issues identified during the examination, pre- exam sessions… more
- TD Bank (Charlotte, NC)
- …+ Has SOX testing and/or oversight experience; + Experience managing audits, assisting with regulatory exams, or Issues , or at minimum familiar with process and ... identifying issues and opportunities and recommending action to senior management in the governance and control space **Shareholder Accountabilities:** + Ensures… more
- Capital One (Mclean, VA)
- …centralized management of audit and exams; facilitate internal audit and regulatory interactions such as development of management responses and additional ... McLean, Virginia Principal Associate, Risk Manager - Audit & Exam Engagement As a Principal Associate, Risk Manager on...and process improvements; including reporting on risk topics to management + Stay current on the changing regulatory… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …production requests are fulfilled in a timely manner. + Engages with the Compliance Regulatory Exam Inquiries Management (REIM) team, Internal Audit, and ... investment and financial planning, as well as capital markets and asset management . The Supervision department partners closely with the business to proactively… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …to ensure production requests are fulfilled promptly. + Engages with the Compliance Regulatory Exam Inquiries Management (REIM) team, Internal Audit, and ... and provide those requests timely. + Reviews production content to identify potential issues , gaps, etc., for resolution and clarity and escalates as needed. + May… more
- Citigroup (Jersey City, NJ)
- Serves as a risk officer for Independent Compliance Risk Management (ICRM)'s Exam Management and Regulatory Liaison Office responsible for the promotion, ... sessions. + Monitoring the full lifecycle of identified regulatory issues ensuring that concerns are communicated,...preferred_ **Job Family Group:** Compliance and Control **Job Family:** Regulatory Liaison & Exam Management … more
- Citigroup (New York, NY)
- …and govern processes for Finance Regulatory Engagement & Oversight, including exam management , regulatory reporting, meetings and requests for ... and followed related to the management of regulatory interactions, including exam management ,...+ Maintains and consistently updates comprehensive inventory of supervisory issues and provides oversight and tracking of commitments to… more
- City National Bank (Los Angeles, CA)
- …independently as well as collaboratively. + Experienced in regulatory interaction, project management , exam management and issue management with ... and prioritize several concurrent initiatives. + Experience communicating and interacting with regulatory agencies, including exam management and other … more
- Citigroup (New York, NY)
- …Oversight Analyst is a seasoned professional who contributes to the directional strategy of regulatory engagement and exam management . In this role, you will ... and followed related to the management of regulatory interactions, including exam management ,... initiatives, and actively monitor change control, actions, risks, issues , and dependencies. + Drives ongoing consistency and alignment… more
- Citigroup (New York, NY)
- … Engagement & Oversight Senior Vice President contributes to the directional strategy of regulatory engagement and exam management outside of the United ... related to the management of Citi Finance's regulatory interactions, including exam management ,...Maintains and consistently update comprehensive inventory of all supervisory issues and provide oversight and tracking of commitments to… more
- Citigroup (New York, NY)
- Serves as a risk officer for the Client organization's Exam Management and Regulatory Liaison Office responsible for the promotion, support, monitoring and ... post exam sessions. + Monitoring the full lifecycle of identified regulatory issues ensuring that concerns are communicated, assigned responsibility, and… more
- Citigroup (New York, NY)
- …& Oversight Analyst for communications and reporting contributes to the directional strategy of regulatory engagement and exam management . In this role, you ... and followed related to the management of regulatory interactions, including exam management ,... initiatives, and actively monitor change control, actions, risks, issues , and dependencies. + Drives ongoing consistency and alignment… more