- Office of the Comptroller of the Currency (New York, NY)
- …to discuss supervisory conclusions, share information, and resolve concerns related to compliance matters. Provide analysis and advice on the planning and conducting ... of other specialty areas (BIT, capital markets, commercial credit, compliance , ERM/Governance, mortgage banking, retail credit, operational risk and/or safety… more
- Office of the Comptroller of the Currency (Charlotte, NC)
- …to discuss supervisory conclusions, share information, and resolve concerns related to compliance matters. Provide analysis and advice on the planning and conducting ... of other specialty areas (asset management, BIT, commercial credit, compliance , ERM/Governance, mortgage banking, retail credit, operational risk and/or safety… more
- S&P Global (New York, NY)
- …Services and Sponsors Sales, S&P Global Ratings is a pivotal leadership position responsible for elevating the Financial Services and Sponsors Commercial team to ... to drive growth and enhance S&P Global Ratings' market position in the Financial Services sector, leveraging data analytics...are met or exceeded, while maintaining high standards of compliance . + Utilize customer insights and market trends to… more
- Office of the Comptroller of the Currency (New York, NY)
- …cover other specialty areas (asset management, capital markets, commercial credit, compliance , mortgage banking, retail credit, and/or safety & soundness) as ... structure of the bank team. Requirements Conditions of Employment This position requires that the successful candidate undergo personnel vetting, which includes… more
- Wells Fargo (Charlotte, NC)
- …their compliance with Financial Industry Regulatory Authority (FINRA) and Securities and Exchange Commission (SEC) rules and regulations, as well as federal ... maintaining appropriate FINRA license(s) is required for ongoing employment in this position . Compliance with state law registration and licensing requirements… more
- Guardian Life (New York, NY)
- …priorities, and values. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions. Aligned to " **what** " we deliver, ... for managing regulatory exams, inquiries, and investigations initiated by insurance, securities and other regulators. The Assistant General Counsel supervises three… more
- S&P Global (New York, NY)
- …cloud technologies and participate in evaluation of new technologies + Ensure compliance through the adoption of enterprise standards and promotion of best practice ... states that the anticipated base salary range for this position is $118,094 to $237,100. Final base salary for...innovation and power global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks… more
- Wells Fargo (York, PA)
- …to deliver tailored lending solutions, optimize client outcomes, and ensure compliance with regulatory standards. The Lending Director provides expert guidance on ... in Wells Fargo's Lending and Banking Solutions, including Home Mortgage, Securities -Based Lending, Custom Credit, and core deposit products. + Deliver ongoing… more
- State of Minnesota (St. Paul, MN)
- …**Hiring Agency/Seniority Unit** : Commerce Dept + **Division/Unit** : Financial Institutions - Securities Exams + **Work Shift/Work Hours** : Day Shift + **Days of ... broker dealers to ensure adherence to relevant laws and regulations. This position involves coordinating and facilitating the audit process. Working alongside a team… more
- S&P Global (New York, NY)
- …to track model performance, data quality, and infrastructure. + **Security and Compliance :** Implement security measures and compliance standards to protect ... states that the anticipated base salary range for this position is $150,000 - $230,000. Final base salary will...innovation and power global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks… more