- Insight Global (Dallas, TX)
- … regulatory filings such as Form ADV, Form PF and Form U4/U5. *Assist with regulatory exams and inquiries from the SEC, FINRA, and other regulatory ... Job Description Insight Global is seeking to hire an experienced and...Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). The Deputy CCO will play a… more
- TD Bank (New York, NY)
- …Compliance broadly to respond to regulatory inquires, requests for data, and exam inquiries as they relate to Trade Surveillance. + Briefings and ... the Surveillance program is robust, adaptive, and aligned with global regulatory expectations. The ideal candidate will...6-12 months) + Manages regulatory reviews including inquiries , audits, and exams **Preferred Qualifications:** +… more
- Bank of America (New York, NY)
- …ensure compliance with applicable laws, rules, and regulations, while responding to regulatory inquiries , other audits, and examinations + Engages in activities ... Reporting. + Assist with responding to and coordinating regulatory inquiries . + Participate in the review...Operational Risk Policies and ensure they are consistent with global and local regulatory practices. + Assist… more
- ADP (Florham Park, NJ)
- …department. This position ensures accurate and timely processing of associate regulatory filings, management of registration data, and coordination with internal ... teams, external vendors, and regulatory authorities to maintain compliance...on all new hire Form U4 reviews. + Open exam windows for new hires for the Series 6,… more
- JPMorgan Chase (Wilmington, DE)
- …also assist the Card CRO Leadership Team with a variety of inquiries , including Leadership Edge, EOS Action Group, budget management, headcount, and organizational ... point of contact to organize key executive and recurring regulatory requests. + Foster communication across all teams to...strength and the diverse talents they bring to our global workforce are directly linked to our success. We… more
- TD Bank (New York, NY)
- …to mid- range planning (eg 6-12 months) + Manages regulatory reviews including inquiries , audits, and exams **Who We Are** TD Securities offers a wide range ... regulatory /compliance training. + Participate in internal investigations, respond to regulatory inquiries , and coordinate internal and external audits and… more
- Coinbase (Madison, WI)
- …class control framework. * Partner with exam management team to respond to all regulatory exams and inquiries . * Work with Market Surveillance team and ... emerging onchain platform - and with it, the future global financial system. To achieve our mission, we're seeking...with high levels of accountability. * Experience with FINRA exams / inquiries . * Knowledge of 15c3-5 Market Access,… more
- Bank of America (Charlotte, NC)
- …FLU Audits and respond to Audit requests and inquiries + Participate in Regulatory Meetings and Exams to provide Risk Manager perspective on critical issues ... of key risks within the areas of coverage + Monitor regulatory changes applicable to Global Financial Crimes + Engage with relevant GFC partners to drive… more
- Wells Fargo (Charlotte, NC)
- …Fargo, we're more than a financial services leader - we're a global trailblazer committed to driving innovation, empowering communities, and helping our customers ... role, you will:** + Participate in researching and resolving escalated inquiries and complaints with significant organizational impact and identify opportunities to… more
- TD Bank (Portland, ME)
- …with non-routine information + Manages/assists with regulatory reviews including inquiries , audits, and exams + Identifies and leads problem resolution ... risk assessment, reporting and other activities** + **Internal Audit, regulatory exam , and ongoing supervision management, finding...We Are:** TD is one of the world's leading global financial institutions and is the fifth largest bank… more