- Flatirons Bank (Boulder, CO)
- …+ Successful completion and implementation of special projects relating to compliance . Regulatory + Serve as the Bank 's SAFE Act Officer, ensuring all ... of emerging CRA issues and regulatory perspectives. + Review the Bank 's mortgage compensation plans to ensure compliance with applicable regulations. +… more
- TD Bank (New York, NY)
- …Description:** The Global Compliance Surveillance Department is responsible for overseeing regulatory compliance across TDS in accordance with the Global ... Operating Framework. The team is accountable for promoting regulatory compliance by developing and maintaining a...against industry practices. + With Risk, ensure that the Bank operates within the compliance risk appetite… more
- Byline Bank (Chicago, IL)
- …duties as assigned. **Qualifications** : + Bachelor's Degree, required. + Certified Regulatory Compliance Manager (CRCM), preferred. + 5+ years of progressively ... of Directors, management and employees to ensure that the Bank is in compliance with federal, state,...products. + Identifies control weaknesses and root causes of compliance deficiencies, conducts extensive research to support regulatory… more
- TD Bank (New York, NY)
- …multiple sources (eg, order management systems, execution platforms, and market data feeds). + Regulatory Compliance & Risk Management: Help to ensure TDS meets ... expertise in financial markets, data governance, trade surveillance systems, and regulatory requirements at a large investment bank /systemically important… more
- US Bank (Chicago, IL)
- …thereviewandadministrationofcompliance policiesandproceduresandthecreationofnewpoliciesandproceduresinresponsetonewly issued regulatory guidance + ... At US Bank , we're on a journey to do our best....This position within RSS will serve as the Chief Compliance Officer (CCO) for one of our multiple series trusts… more
- TD Bank (New York, NY)
- …and Internal Audits:** Work with key stakeholders with Global Control Room and Compliance broadly to respond to regulatory inquires and internal audit requests, ... and work with key stakeholders across the different TD Bank entities and systems to assure TDS positions are... and Global Control Room + Experience managing complex regulatory remediation. + Familiarity with regulations and compliance… more
- US Bank (Knoxville, TN)
- At US Bank , we're on a journey to do our best. Helping the customers and businesses we serve to make better and smarter financial decisions and enabling the ... is unique in their potential. A career with US Bank gives you a wide, ever-growing range of opportunities...(FLOD) for Consumer and Business Banking (CBB), the CBB Compliance Team collaborates with business units, risk teams, and… more
- Raymond James Financial, Inc. (Pittsburgh, PA)
- …education and training programs for the department. + Serves as a leader of compliance pillars that make up the Bank 's compliance management system. ... Planning and scheduling work to meet regulatory organizational and regulatory requirements. + Identifying and applying appropriate compliance monitoring… more
- Newtown Savings Bank (Newtown, CT)
- …take your banking risk and compliance experience to the next level? Newtown Savings Bank is seeking a banking professional for the role of Risk & Compliance ... Compliance Specialist I supports the execution of the Bank 's Risk and Compliance Programs to ensure...Review business line procedures to ensure they address applicable regulatory / Bank policy requirements and standards, and provide… more
- Berkshire Bank (Boston, MA)
- …Trust regulations, state guidelines, and the Investment Advisers Act of 1940Maintain Regulatory Compliance Calendar. Attend corporate compliance and fraud ... Officer Asset Management will develop, strengthen, and maintain the compliance and regulatory processes for the Asset... compliance and at least 5 years of compliance experience in the investment brokerage, bank … more
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