- SMBC (New York, NY)
- …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
- 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
- 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 (New York, NY)
- …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
- 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
- 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
- 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
- Coinbase (Albany, NY)
- …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
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