- Citigroup (Getzville, NY)
- …Engagement is a strategic professional who keeps senior management apprised of ongoing regulatory interactions across Finance. As a strong manager adept at ... + 10+ years of relevant experience in financial services, regulatory engagement or consulting. + Excellent writing ,...services, regulatory engagement or consulting. + Excellent writing , editing, proofreading and speaking skills, as well as… more
- TD Bank (New York, NY)
- …VP Compliance role will be a key member of the TDS US Compliance Regulatory Initiatives Team and US Wholesale Compliance Group. The Compliance Regulatory ... efforts in particular with respect to training related deliverables + Support regulatory challenge frameworks to support completion of regulatory deliverables +… more
- TD Bank (New York, NY)
- …a team(s) of specialists/professionals providing advice, guidance and expertise on regulatory requirements and assisting business units to manage their regulatory ... risk. **Key Responsibilities:** + Design and implement a robust regulatory inquiries program that includes: + leading response to regulatory inquiries and… more
- TD Bank (New York, NY)
- …accountable for establishing the programs and frameworks required to satisfy regulatory obligations and manage employee conduct and behaviors to ensure compliance. ... advise or coordinate with key stakeholders on day to day supervision, regulatory or business conduct matters requiring escalation, working in close coordination with… more
- American Express (New York, NY)
- …Analyst will become a Subject Matter Expert on the data generated during regulatory exams and findings to deliver effective reporting to various stakeholder groups. ... The position will also support the RRM Manager and Director in risk management-related activities and various...include: + Data management, which includes data entry of regulatory information in the system of record. + Maintaining… more
- TD Bank (New York, NY)
- …as needed** **Job Summary:** The **Compliance Administration Oversight & Reporting Manager ** ensures regulatory adherence and risk management within our ... and TD Wealth Management Services Inc) with independent and complex regulatory regimes.** **The Financial Advisors, Relationship Managers, and Investment Advisors… more
- TD Bank (New York, NY)
- …standards. **About the Role** : We are seeking a proactive and analytical Manager for Compliance Strategy and Operations (S&O) with extensive experience building and ... programs. This critical role reports to the lead Governance Program Management Senior Manager and will lead the design and development of the Compliance Program… more
- TD Bank (New York, NY)
- …escalation of issues and events. **Job Description** Reporting to the Senior Manager , Global Regulatory Change & Library Governance, the Compliance Business ... Oversight Manager will support the Global Regulatory Inventory...with problems involving standardized situations - Continuous + Reading, writing and comprehending instructions - Continuous + Adding, subtracting,… more
- TD Bank (New York, NY)
- … regulatory ** **engagement** **strategy. The Compliance Audit & Exam Manager will prepare regular stakeholder communication, provide input for periodic management ... + 7+ years of experience **Preferred Background & Experience:** + **Certified Regulatory Compliance Manager or similar knowledge of consumer, commercial, and… more
- TD Bank (New York, NY)
- …dedicated to setting new industry standards. **The Compliance Business Oversight Manager manages the oversight of various US Corporate Functions and provides ... and challenge related to their Compliance Management System programs. The Compliance Manager will lead important projects and functions that assist the team by… more