- MUFG (Walnut Creek, CA)
- …field. *Minimum of three years of related work experience in liquidity regulatory reporting and financial services industry experience. *Previous direct ... not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the...that is protected under applicable federal, state, or local law . At MUFG, our colleagues are our greatest assets.… more
- JPMorgan Chase (New York, NY)
- …Banking team within the Commercial and Investment Banking & Securities Regulatory Engagement, you will collaborate with senior leaders across the Commercial ... control management and corporate functions to provide strategic advice and manage regulatory examinations and other regulatory engagements conducted by the… more
- JPMorgan Chase (Brooklyn, NY)
- The Regulatory Reporting Policy team sits within Corporate Finance - Corporate Controllers specifically within the Bank Controller, Accounting Policy and Reporting ... (BCAPR), consisting of the Bank Controller, Corporate Accounting Policy, Regulatory Reporting Policy, Inter-entity Analysis, Quality Review & Control and SEC… more
- Mizuho Corporate Bank (New York, NY)
- About the Team: Mizuho Americas Finance - Financial Regulatory Reporting is a team responsible for the preparation of regulatory filings for multiple ... a must. + Minimum 5 years of experience in financial reporting, regulatory reporting, risk management, or...drug-free workplace and reserve the right to require pre- and post-hire drug testing as permitted by applicable law .… more
- Lincoln Financial (Fort Wayne, IN)
- …#:** 74826 **The Role at a Glance** As a Senior Consultant, Fund Admin, Regulatory , you will prepare complex regulatory filings including the disclosure for ... and SAI disclosure), the timing of filings, names rule requirements, and regulatory trends related to Fund SEC filings. Preferred experience working with AcrPro,… more
- City National Bank (Beverly Hills, CA)
- … regulatory experience * Minimum 7 years leading legal, governance and/or regulatory programs in the financial services industry *Additional Qualifications* * ... function and/or risk type * Knowledge and understanding of regulatory and risk management in the financial ...origin, disability, veteran status or other basis protected by law . It is unlawful in Massachusetts to require or… more
- TD Bank (New York, NY)
- …Experience in trade or communications surveillance a plus. + Firm understanding of financial product rules and regulatory landscape, as well as a strong ... and penchant for learning new business areas and developing understanding of financial institution's products and regulatory requirements and obligations. +… more
- City National Bank (Jersey City, NJ)
- *DIRECTOR OF AUDIT- IT REGULATORY ISSUES MANAGEMENT* WHAT IS THE OPPORTUNITY? The Director of Audit for IT Regulatory Issues Management will support the Senior ... will be responsible for IT related enforcement action(s) and regulatory remediation activities. This role acts as the central...10 years of progressive experience within a top tier financial services organization or Big "4" public accounting firm… more
- City National Bank (Los Angeles, CA)
- …* Bachelor's Degree or equivalent * Minimum 5 years of experience working in financial Industry, preferably in a regulatory -facing role * Minimum 5 years of ... * REGULATORY RELATIONS ANALYST* WHAT IS THE OPPORTUNITY? Responsible...* For Wealth Management Compliance roles, experience with a financial institution such as a broker/dealer and/or registered investment… more
- TD Bank (New York, NY)
- …this role. **Job Description:** **Short Term Assignment - 12 Month Duration** Regulatory and Supervisory Management (RSM) drives a strong culture of supervision and ... supervisory engagement, considering industry best practice and regulatory change. The Global Markets Supervision (GMS) team partners with TD Securities' Global… more