- Capital One (Mclean, VA)
- …comprises Community Reinvestment Act (CRA) Strategy & Program Management, Global Policy Affairs Group, Regulatory Relations, Corporate Communications, ... Principal Risk Specialist - CRA Management Within Capital One, Global Enterprise Affairs (GEA) is an organization dedicated to...with team organization and response to internal audits and regulatory compliance exams + Monitor regulatory… more
- TD Bank (Portland, ME)
- …with non-routine information + Manages/assists with regulatory reviews including inquiries , audits, and exams + Identifies and leads problem resolution ... The individual will lead and coordinate compliance-related initiatives, manage regulatory exams , and collaborate cross-functionally to support business… more
- TD Bank (New York, NY)
- …planning (eg 6-12 months) + Manages regulatory reviews including inquiries , audits, and exams **Preferred Qualifications:** + Undergraduate degree required ... a team(s) of specialists/professionals providing advice, guidance and expertise on regulatory requirements and assisting business units to manage their regulatory… more
- TD Bank (New York, NY)
- …mid- range planning (eg 6-12 months) + Manages regulatory reviews including inquiries , audits, and exams **Education & Experience:** + Bachelors degree or ... sits in Core Compliance and covers the TDS US businesses and certain global businesses, working with regional testing teams across the globe. This Compliance Officer… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …committees for visibility and strategic decision-making. + Prepare for and respond to regulatory exams and inquiries and coordinate with internal audit ... (FFIEC); Office of Thrift Supervision (OTS); Federal Reserve System; state banking regulatory agencies. + Deep understanding of global and domestic regulations… more
- Wells Fargo (St. Louis, MO)
- …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 (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 ... and debt securities. + Assist in the development and build out of a global Investment Banking Compliance program and Control Room across Canada, US, Europe and Asia… more
- Wells Fargo (Thorndale, PA)
- …Fargo, we're more than a financial services leader - we're a global trailblazer committed to driving innovation, empowering communities, and helping our customers ... to emerging affluent and high-value customers + Present recommendations for resolving inquiries and service requests regarding customers' accounts + Open and service… more
- TD Bank (New York, NY)
- …mid- range planning (eg 6-12 months) + Manages regulatory reviews including inquiries , audits, and exams **Education & Experience:** + Bachelors degree or ... a team(s) of specialists/professionals providing advice, guidance and expertise on regulatory requirements and assisting business units to manage their regulatory… more
- Mastercard (Harrison, NY)
- …and KYC processes. * Manage regulatory relationships and support audits, exams , and inquiries . * Drive continuous improvement in compliance operations and ... agile sales team is responsible for end-to-end solutions for a diverse global customer base including retailers, airlines, hotels, tourism agencies, public sector… more