- Amgen (Washington, DC)
- …will play a crucial part in ensuring our organization's compliance with regulatory standards and preparing and coordinating a cross-functional team for Regulatory ... role also involves developing inspection management plans for each identified Regulatory Health Authority inspection, managing the R&D inspection framework, and… more
- Capital One (New York, NY)
- …monitoring, remediation and corrective action of compliance breakdowns, and changes in law , regulation and regulatory guidance + Oversee, credibly challenge, and ... with first line to support adherence to KYP policies, standards, procedures and regulatory requirements; partnering with line of business AML Advisors to assess new… more
- PNC (Tampa, FL)
- …Fair Enforcement for Mortgage Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring of ... Manuals, policies and procedures accurately reflect current laws, rules, other regulatory requirements and management intent. Coordinates regulatory examinations… more
- Manulife (New York, NY)
- Manulife is a leading international financial services provider, helping people make decisions easier and lives better. Help shape the future you want to see - and ... various investment adviser oversight governance committees. + Work closely with law , compliance, finance, operations, and portfolio management functions to develop,… more
- TD Bank (New York, NY)
- …and services, and are operating within risk appetite in compliance with regulatory requirements, Bank policies and risk appetite. Members of TDS Governance & ... adhering to internal (risk management, oversight function and audit) and regulatory requirements, requests, and expectations. **JOB DESCRIPTION** The Vice President… more
- PNC (Pittsburgh, PA)
- …Fair Enforcement for Mortgage Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring of ... Manuals, policies and procedures accurately reflect current laws, rules, other regulatory requirements and management intent. Oversees regulatory examinations… more
- TD Bank (New York, NY)
- …of a new conflict management systems and tools, ensuring alignment with regulatory expectations and business needs. + Partner with technology teams and project ... legal and compliance stakeholders on complex conflict scenarios. + Monitor regulatory developments and industry best practices to ensure the firm's conflict… more
- Mizuho Corporate Bank (New York, NY)
- …posture. The head of Business continuity will lead the BCP operations, the regulatory inquiries as well as the strategic initiatives. In this role you will ... all business continuity activities are robust, well-assessed, and aligned with regulatory expectations and industry best practices. This role, critical part of… more
- American Express (Phoenix, AZ)
- …in a safe, sound and fully compliant manner within all applicable regulatory expectations. We create and maintain the overall risk management framework while ... ensuring legal and regulatory compliance. Our culture in Global Risk & Compliance...means caring for you and your loved ones' physical, financial , and mental health, as well as providing the… more
- SMBC (New York, NY)
- SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, ... 80,000 employees worldwide in nearly 40 countries. Sumitomo Mitsui Financial Group, Inc. (SMFG) is the holding company of...group within SMBC Nikko Securities Inc. serves as a regulatory advisory function to the President and is responsible… more