- TD Bank (New York, NY)
- …dedicated to setting new industry standards. Reporting to the Head of Compliance, Regulatory Inventory and Regulatory Change, the Senior Manager is responsible ... for the governance of the Global Regulatory Change and Library Governance Program, including technology, and...relevant work experience in the industry** + **University degree, Law degree (JD or LLB) preferred** + **Relevant professional… more
- TD Bank (Boston, MA)
- …administrative, civil, and/or criminal findings by any government agency/authority or self- regulatory organization, are required by federal law for this ... of Wealth Remediation is responsible for expanding and managing regulatory oversight program for the first line of defense...Are:** TD is one of the world's leading global financial institutions and is the fifth largest bank in… more
- TD Bank (New York, NY)
- …compliance, branch taxation issues + Providing tax advice with respect to new financial products and business activities + Drafting file memos and documenting tax ... and assessing the impact of new and proposed legislation, regulatory activity, and tax guidance + Advising on the...in a corporate tax environment (in-house or at a law firm/Big 4) + Excellent tax technical knowledge and… more
- Robert Half Finance & Accounting (Minneapolis, MN)
- …to get started. Requirements * At least five years of relevant experience in a financial regulatory agency or financial services institution, or a Juris ... regulatory oversight, or a related role within the financial services industry; relevant legal or regulatory ...Doctor degree with three or more years of post- law school experience with banking compliance. * Minimum of… more
- Bank of America (Charlotte, NC)
- …to complete all activities. Decisions made will have significant impact to the firms Regulatory , Financial , Reputational and Operational risk to the Bank. On a ... are guided by a common purpose to help make financial lives better through the power of every connection....an effort to keep the firm compliant to FDIC Regulatory requirements. Employees at this level are often required… more
- JPMorgan Chase (New York, NY)
- …the Chief Compliance Officer (CCO) where you will lead oversight of regulatory compliance for registered closed-end funds in alternative investment strategies in ... private market investments. You will lead regulatory and compliance risk oversight for some of the...legal, or risk management roles within asset management or financial services. + Expertise in SEC regulations applicable to… more
- Citigroup (Tampa, FL)
- …years relevant experience in governance, risk and controls focusing on regulation management, regulatory law , compliance, audit or regulatory functions and ... operational risk management, compliance, audit, or other control-related functions in the financial services industry. + Ability to identify, measure, and manage key… more
- Banc of California (Santa Ana, CA)
- …and internal do-not-bank list. + Handle 314a and 314b information-sharing requests from law enforcement agencies and other financial institutions. + Lead and ... is committed to its local communities by supporting organizations that provide financial literacy and job training, small business support, affordable housing, and… more
- TD Bank (New York, NY)
- …relevant policies and procedures + Ensure governance documents align with regulatory expectations, internal standards, industry best practices, and enterprise risk ... Ensure the updating of relevant governance documentation adequately reflects evolving legal, regulatory , and industry best practices + Lead and draft responses to… more
- Citigroup (Irving, TX)
- …audits. + Understand end use case requirements for data pipelines, eg, financial regulatory reporting requirements and critical business processes, and assist ... consumers, corporations, governments and institutions with a broad range of financial products and services, including consumer banking and credit, corporate and… more