- Wells Fargo (Charlotte, NC)
- …all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively following and adhering to ... all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively following and adhering to… more
- TD Bank (Boston, MA)
- …management. + Deep understanding of regulatory compliance and risk management in the finance industry + Strong technology acumen, comfortable ... and AMCB Consumer Bank teams to ensure that all regulatory , compliance , audit, and self-ID findings are...& AMCB to deliver thought leadership and guidance on regulatory risk mitigation **Education & Experience:** +… more
- SMBC (New York, NY)
- …escalating issues to the right stakeholders at the right time. + Partner with Compliance , Risk , Audit, and Technology teams to ensure program objectives align ... complex, cross-functional programs involving multiple stakeholders across lines of business, risk , compliance , and technology. + Understanding of enterprise data… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …of compliance initiatives. Acts as Corporate Banking subject matter expert regarding compliance and regulatory risk . Works with internal and external ... RJ Supervision to guide Corporate Banking in adherence to compliance and regulatory risk . +...+ Strong understanding of the principles of banking and finance and securities industry operations. + Advanced knowledge of… more
- The Croghan Colonial Bank (Fremont, OH)
- …design and execution. Ensure efficiency, quality control, and compliance with regulatory guidance in bank-wide vendor risk management activities. + Assist in ... The Job - Responsible for overseeing and coordinating critical financial reporting, risk management, and audit activities within the Finance Department along… more
- Wells Fargo (Charlotte, NC)
- …all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively following and adhering to ... all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively following and adhering to… more
- DriveTime (Tempe, AZ)
- …equivalent experience. + 5+ years of experience in licensing, compliance , or regulatory affairs, with a focus on Consumer Finance , Ancillary, or Motor ... culture by designing and overseeing comprehensive licensing audit strategies that mitigate regulatory risk and safeguard the organization's ability to operate. +… more
- Wells Fargo (Irving, TX)
- …all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively following and adhering to ... projects focused on enhancing and simplifying operational accounting processes + Identify compliance and risk management requirements for supported area and… more
- Wells Fargo (Charlotte, NC)
- …of securities transactions, cash transactions and loans. The team also manages the risk , regulatory compliance , and client service associated with these ... all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively following and adhering to… more
- TD Bank (New York, NY)
- …one or more areas of expertise + Anticipates emerging business trends and regulatory / risk issues as a basis for recommending large-scale product, technical, ... 871(m), tax treaties, structured notes, BEAT, Pillar 2, REIT compliance , branch taxation issues + Providing tax advice with...and assessing the impact of new and proposed legislation, regulatory activity, and tax guidance + Advising on the… more