- Citigroup (New York, NY)
- …agreements. + **Analytical Thinking:** Strong capability to analyze market data, financial information, and regulatory frameworks to derive actionable insights. ... Receipt programs (eg, ADRs, GDRs), including program structure, lifecycle management, regulatory compliance (eg, SEC filing requirements), and market dynamics. +… more
- Vanguard (Malvern, PA)
- …oversee the financial crimes compliance program, and ensure adherence to regulatory requirements. Serves as Chief AML Officer and Bank Secrecy Compliance Officer ... Regulatory Engagement: Serve as the primary liaison with regulatory bodies regarding Financial Crime compliance, ensuring...is highly preferred. + Education: Bachelor's degree in finance, law , or a related field. Advanced degree or relevant… more
- USAA (Plano, TX)
- …USAA?** At USAA, our mission is to empower our members to achieve financial security through highly competitive products, exceptional service and trusted advice. We ... within a risk and compliance framework. This role ensures adherence to regulatory requirements and USAA's policies and procedures. The advisor is responsible for… more
- TD Bank (New York, NY)
- …risk management, operational risk management, or audit experience within a regulated financial service or FinTech environment + Deep understanding of Risk Control ... Self-Assessment, Control Testing frameworks, risk assurance methodologies, and regulatory expectations. + Advance proficiency with GRC platforms (preferably… more
- PNC (Cleveland, OH)
- …Fair Enforcement for Mortgage Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring of ... BSA/AML & Sanctions Risk Policy, the Enterprise CDD Policy, current regulatory environment, and regulator expectations. * As requested by Management, participate… more
- TD Bank (Greenville, SC)
- …the team by providing the Business areas with objective guidance on regulatory compliance controls, processes, and implementation of Compliance programs to mitigate ... of a compliance program, including control mapping, risk assessments, regulatory change and monitoring and testing, as examples.** +...Are:** TD is one of the world's leading global financial institutions and is the fifth largest bank in… more
- Citigroup (New York, NY)
- …degree; experience in compliance, legal or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, or a ... internal strategies, policies, procedures, processes, and programs to prevent violations of law , rule, or regulation and design and deliver a risk management… more
- City National Bank (New York, NY)
- …executive decision-making. * Expertise in OCC, FRB, FFIEC, and other financial regulatory requirements, including technology requirements, regulatory ... WHAT IS THE OPPORTUNITY? The Senior Manager will lead the T&I Regulatory Remediation Oversight function within T&I Strategic Planning & Governance Office. Reporting… more
- Marex (New York, NY)
- Diversified. Resilient. Dynamic. Marex is a global financial services platform, providing essential liquidity, market access and infrastructure services to clients ... in the energy, commodities and financial markets. The Group provides comprehensive breadth and depth of coverage across four core services: Market Making, Clearing,… more
- Bristol Myers Squibb (Princeton, NJ)
- …lives. Read more: careers.bms.com/working-with-us . **Associate Director, Global Regulatory Strategy, Neuroscience** **Position Summary:** The selected candidate ... will have leadership responsibility for global regulatory strategy within a development team (DT). Serve as...Living Life Better program and employee assistance programs (EAP). Financial well-being resources and a 401(K). Financial … more