- Xcel Energy (Denver, CO)
- …rate cases and other regulatory filings. Act as an expert witness for regulatory proceedings on financial topics. Partner with the Public Service of Colorado ... OpCo President in developing and supporting the execution of the financial , operational, and regulatory plans. Develop relationships with key internal and… more
- TD Bank (New York, NY)
- …of TD Bank Group it has a key role in the USA providing support in financial , management, liquidity, and regulatory reporting. In addition, by its nature as a ... Control teams to resolve issues. + Work collaboratively with Regulatory reporting team, Financial Operations teams to...other characteristic protected under applicable federal, state, or local law . If you are an applicant with a disability… more
- TD Bank (Mount Laurel, NJ)
- …LLC and TD Wealth Management Services Inc) with independent and complex regulatory regimes.** **The Financial Advisors, Relationship Managers, and Investment ... Guides and complements the assigned portfolio in terms of financial , regulatory and risk management requirements +...other characteristic protected under applicable federal, state, or local law . If you are an applicant with a disability… more
- TD Bank (Greenville, SC)
- …Currency Comptroller (OCC), Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority** **(FINRA)** **Customer Accountabilities:** + ... Guides and complements the assigned portfolio in terms of financial , regulatory and risk management requirements +...other characteristic protected under applicable federal, state, or local law . If you are an applicant with a disability… more
- MUFG (Tempe, AZ)
- …focusing on financial crimes controls related to audit and testing, regulatory exams and issues management. The ideal candidate will apply practical risk ... including senior sanctions managers, senior executives, GFCD functional roles, regional financial crimes offices (RFCOs), Global Internal Audit, Regulatory … more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …across applicable business units and international subsidiaries of Raymond James Financial . This role ensures compliance with AML regulatory requirements ... ensure proactive identification, mitigation, and adaptation to an evolving regulatory landscape and financial crime threats. +... crime threats. + Act as a liaison with regulatory bodies, auditors, and law enforcement agencies… more
- American Express (New York, NY)
- …backgrounds including internal controls, consumer compliance, technology, operational risk, financial accounting, data analytics, and banking operations. Our audit ... group responsible for managing audit operations, quality, and standards; regulatory relations; reporting; training and professional development; and key internal… more
- Treasury, Departmental Offices (Washington, DC)
- …on, for example, international law and its intersection with US law , rules and laws governing international financial institutions, foreign assistance, US ... and potentially a wide range of international economic and financial matters. Responsibilities The following are the duties of...CFIUS law , corporate law , enforcement law , administrative law (including regulatory … more
- Bank of America (Atlanta, GA)
- …money laundering, or terrorist financing and acting as the liaison to Law Enforcement as required. TheGlobal Financial Crimes Compliance (GFCC) Investigator ... work experience in areas such as financial crimes, including financial crimes investigations management, fraud management, regulatory compliance, risk… more
- TD Bank (Greenville, SC)
- …to assess the effectiveness of operational procedures and controls related to regulatory compliance within business units of TD Bank and its affiliates. Testing ... are designed and executed to specifically test and assess controls and regulatory outcomes in relation to compliance with applicable laws, rules, and regulations… more