- American Express (Phoenix, AZ)
- …regulations. The ideal candidate will possess expertise in navigating the complex regulatory environment affecting financial services and will be adept at ... findings to senior management with insights on performance against regulatory requirements. **Qualifications:** + Bachelor's degree in law...of 5 years of overall experience in Banking and Financial Services, of which a minimum of 2 years'… more
- TD Bank (Charlotte, NC)
- …+ Lead cross-functional teams and steer implementation, maintenance, and enhancement of regulatory compliance and risk management objectives + Lead the execution of ... and third-party service providers to deliver Compliance programs that satisfy regulatory requirements. **Depth & Scope:** + Expected to exercise sound and… more
- State of Connecticut, Department of Administrative Services (Hartford, CT)
- …operations of examinations and applications for entities regulated by the Financial Institutions Division. The Banking Department Manager will: + Supervise staff ... or revised legislation. + Maintain a comprehensive understanding of the regulatory process. + Facilitate resolutions of consumer complaints. + Recommend disciplinary… more
- JPMorgan Chase (Brooklyn, NY)
- …Sheet, Capital, and Risk weighted assets (RWA) + Understanding the regulatory reporting requirements and the associated complex financial /accounting calculations ... 4+ years in a banking organization with exposure to regulatory reporting, financial statements analysis, and ...or disability, or any other basis protected under applicable law . We also make reasonable accommodations for applicants' and… more
- Capital One (Mclean, VA)
- …to support Capital One Securities, a broker dealer registered with the Financial Industry Regulatory Authority (FINRA) and the Securities Exchange Commission ... **Responsibilities:** + Oversee monthly closes process + Prepare internal & external financial statements and variance analysis + Prepare regulatory filings… more
- Deloitte (Rochester, NY)
- AML Consultant-Project Delivery Senior Analyst- Regulatory , Risk & Forensic Operate Are you an experienced, passionate pioneer in technology who wants to work in a ... attention and consideration from engagement management. The Team Our Deloitte Regulatory , Risk & Forensic team helps client leaders translate multifaceted risk… more
- JPMorgan Chase (Columbus, OH)
- …+ Adhere to proof & control procedures to ensure accurate reconciliation between regulatory filings, SEC filings and other published financial reports (eg, Form ... and edit checks to ensure the integrity of reported financial results + Interpret and define regulatory ...or disability, or any other basis protected under applicable law . We also make reasonable accommodations for applicants' and… more
- Wells Fargo (Charlotte, NC)
- …representatives (eg, financial advisors) to ensure their compliance with Financial Industry Regulatory Authority (FINRA) and Securities and Exchange ... work experience, training, military experience, education + US only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7, 9/10, and… more
- Lincoln Financial (Charlotte, NC)
- …**The ADP Program Overview** The Actuarial Development Program (ADP) at Lincoln Financial Group is an industry-leading program that demonstrates Lincoln Financial ... a part of Corporate Finance, the Appointed Actuary team focuses on key regulatory exercises such as Asset Adequacy Testing, C-3 Phase I, X-Factor reports, Preferred… more
- Walmart (Bentonville, AR)
- … Regulatory Compliance: Requires knowledge of: Accounting Standards (GAAP), Financial systems and controls like SOX, ICOFR, Anti-Corruption FCPA, Audit ... **Position Summary ** **What you'll do ** **Essential Functions:** Financial Services: Requires knowledge of: Specific financial services operations, payment… more