- Raymond James Financial, Inc. (St. Petersburg, FL)
- …presentations, and databases. + Critical thinking and decision-making, involving the interpretation of regulatory rules and compliance policies. ... + Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory … more
- Deloitte (Stamford, CT)
- …auditing firms + Experience in regulatory compliance and/or analysis and interpretation of rules , regulations, and standards + Experience in public ... Manager in our Personal Consultation team, you'll be on the cutting edge of regulatory compliance, focusing on auditor independence rules and their impacts on… more
- Bank of America (Charlotte, NC)
- …to improve data quality of regulatory reports * Partner with NFRR Regulatory Interpretation and Technology teams to review and maintain data dictionaries for ... Decisions made will have significant impact to the firms Regulatory , Financial , Reputational and Operational risk to...+ Adaptability + Data Management + Interpret Relevant Laws, Rules , and Regulations **Shift:** 1st shift (United States of… more
- TD Bank (Portland, ME)
- …LLC and TD Wealth Management Services Inc) with independent and complex regulatory regimes.** **The Financial Advisors, Relationship Managers, and Investment ... with the Investment Company Act of 1940, FINRA, SEC rules , and other applicable state and federal securities laws**...applicable state and federal securities laws** + **Assist in regulatory requests and exams, and help manage responses to… more
- Commonwealth of Pennsylvania (PA)
- …programs to free-standing outpatient programs. You will be responsible for determining regulatory compliance and providing technical assistance to any of the 800+ ... families, program administrators, and other professionals on issues regarding the interpretation of regulations, provision of services, and implementation of new… more
- Bank of America (Charlotte, NC)
- … Crimes ("GFC") Executive is responsible for managing risks associated with financial crimes, and ensuring compliance with laws, rules and regulations ... financial crimes; the risks of non-compliance with laws, rules , and regulations related to financial crimes;...Financial Crimes Risk Programs + Credible Challenge + Regulatory Knowledge + High Risk Activities & Typologies +… more
- BMO Financial Group (Chicago, IL)
- …the group(s) supported. + Provides input to business/group on emerging risks, regulatory developments and interpretation of regulations. + Conducts and/or ... Compliance Program. Works with business/group and internal partners to ensure regulatory , corporate and fiduciary obligations are met. Advises business/group on… more
- City National Bank (New York, NY)
- …ADV and CFTC reporting. * Provide guidance and coaching to colleagues on interpretation and application of regulatory requirements to business processes. * ... the compliance program including monitoring business area compliance with applicable laws, rules , and regulations, and ensuring effective controls are in place to… more
- Citigroup (Tampa, FL)
- **About Citibank NA** Citibank is a leading financial institution committed to innovation, regulatory compliance, and data excellence. Our Enterprise Data ... in regulatory change management with RRIO, Risk, Finance from interpretation to implementation + Effectively communicate and coordinate implementation, act as… more
- BMO Financial Group (Milwaukee, WI)
- …the group(s) supported.** **Provides input to business/group on emerging risks, regulatory developments and interpretation of regulations.** **Conducts and/or ... Compliance team is looking for a Compliance Officer. We focus on regulatory compliance for Commercial Banking, including Commercial Lending & Leasing and Treasury… more