- CVS Health (Richmond, VA)
- …leaders, engaging with key stakeholders on compliance related issues to meet regulatory and legal obligations to prevent, detect, and mitigate compliance risks. ... as well as developing effective communications and trainings when needed. + Prepares regulatory reports, regulatory filings and follow up activity as needed, and… more
- Citigroup (Jacksonville, FL)
- …the franchise. What we will need from you + 8 years of experience in Financial Services and Regulatory Risk + Practical understanding of Compliance & ... communications. + Understanding of best-practice risk management techniques across financial services industry specifically within Regulatory and Compliance… more
- University of Pennsylvania (Philadelphia, PA)
- …system, managing the adverse event reporting process and assisting with the regulatory and financial management of multiple studies. Coordinate several ... to assure the availability of study drug. Create, maintain research data, regulatory files. + Timely initiation of screening, enrolling patients. Screen to identify… more
- State of Massachusetts (MA)
- …Investigations & Enforcement Bureau (IEB). The IEB is the primary enforcement agent for regulatory matters under the Massachusetts gaming law (MGL c. 23K) and ... Division, and the Massachusetts State Police Gaming Enforcement Unit (GEU) on regulatory matters. The Enforcement Counsel will also work collaboratively with the… more
- BMO Financial Group (Chicago, IL)
- …Compliance Program. Works with business/group and internal partners to ensure regulatory , corporate and fiduciary obligations are met. Advises business/group on ... implications of new regulatory developments or internal products, and assists to implement...- $209,000.00 **Pay Type:** Salaried The above represents BMO Financial Group's pay range and type. Salaries will vary… more
- Citigroup (Tampa, FL)
- **About Citibank NA** Citibank is a leading financial institution committed to innovation, regulatory compliance, and data excellence. Our Enterprise Data ... and ensuring the highest standards of data quality and governance. **Team Overview: Regulatory and Analytics (R&A)** The Regulatory and Analytics (R&A) team… more
- BMO Financial Group (New York, NY)
- …on compliance matters. + Advises business/group on implications of new regulatory developments or internal products, and assists to implement new/revised policies ... + Performs and/or effectively challenges monitoring and testing activities to ensure regulatory compliance controls are operating and aligned to regulatory … more
- BMO Financial Group (Milwaukee, WI)
- …Compliance team is looking for a Compliance Officer. We focus on regulatory compliance for Commercial Banking, including Commercial Lending & Leasing and Treasury ... and testing of their controls, conduct risk assessments, and manage oversight of regulatory compliance issues. We partner with the business to prepare them for … more
- Raymond James Financial, Inc. (Denver, CO)
- …Quality Control, Analytics, Compliance, Legal, Operations, Technology) and external partners (eg, financial institutions, law enforcement) as needed. + Assist in ... team of analysts. The ideal candidate will demonstrate strong investigative skills, regulatory knowledge, and leadership acumen, and will serve as a key escalation… more
- TD Bank (New York, NY)
- …that alert review processes align with firm requirements and global regulatory expectations. **Department Overview:** Our team of trusted Surveillance Compliance ... Director of Quality Assurance with providing advice, guidance and expertise on regulatory requirements and assisting business units to manage their regulatory … more