- Raymond James Financial, Inc. (St. Petersburg, FL)
- …**Project & Change Management:** Manage multiple concurrent transition projects & initiatives , ensuring timely execution and adherence to regulatory ... all transition activities comply with FINRA, SEC, and internal regulatory standards. Partner with Legal and Compliance ...internal regulatory standards. Partner with Legal and Compliance teams to mitigate risk and maintain audit readiness.… more
- SMBC (Charlotte, NC)
- …and Data Quality tooling. Here you will ensure team member activities are in compliance with and aligned with the bank's strategic directives. This role is well ... + Establish and continuously improve "Run the Bank" and "Build the Bank" initiatives . + Provides regular status updates of team activities including progress of… more
- MUFG (New York, NY)
- …and scenario analysis + Collaborate with front-office, credit risk management, legal and regulatory teams to ensure compliance with industry standards and ... team of 3-5 risk professionals + Supports the execution of strategic initiatives in collaboration with internal and external stakeholders **Qualifications:** + 10 +… more
- TD Bank (New York, NY)
- …manage their regulatory risk. **Key Responsibilities:** + Reporting: With the Head of Surveillance Initiatives and Portfolio Management and key stakeholders: ... Description:** The Global Compliance Surveillance Department is responsible for overseeing regulatory compliance across TDS in accordance with the Global … more
- Citigroup (Jacksonville, FL)
- …Fraud to drive cross-function collaboration. + Champion organizational agenda and initiatives with executive audience. + Integrate/connect team initiatives , ... Understanding of the threat landscape, as well as impacts of macroeconomic, industry, regulatory and fraud trends. + Decisive with the ability to formulate and… more
- Coinbase (Charlotte, NC)
- …that will play a crucial role in financial reporting and other statutory and regulatory filings. *What You'll Be Doing (ie, Job Duties)* * Lead the preparation of ... filings by all relevant parties, including the Disclosure Committee, Audit and Compliance Committee, external auditors, and internal and external legal counsel. *… more
- Scotiabank (Dallas, TX)
- …of day-to-day business controls to meet obligations with respect to operational risk, regulatory compliance risk, AML/ATF risk and conduct risk, including but ... Senior Manager, Regulatory and Business Initiatives Group **Requisition...limited to responsibilities under the Operational Risk Management Framework, Regulatory Compliance Risk Management Framework, AML/ATF Global… more
- TD Bank (Charlotte, NC)
- …enterprise risk and compliance stakeholders. + Coordinate cross-functional initiatives and provide thought leadership on evolving regulatory expectations ... role will serve as a critical advisor to the Head of Compliance Program Management (AVP) and...shaping the strategic roadmap, developing business routines, and coordinating compliance program-wide initiatives . The ideal candidate is… more
- Pilot Company (Knoxville, TN)
- …to apply. **Job Description** The core function of this role as the VP, Regulatory Affairs and Compliance is to provide Strategic Leadership and Advocacy for ... regulatory strategy in alignment with enterprise objectives and growth initiatives . 2.) Develops and implements regulatory strategies: Crafts and executes… more
- TD Bank (New York, NY)
- …Business partners) to develop clear deliverables, milestone, and project plans for regulatory initiatives , new Global Control Room deployments, and Global ... Head with implementing a program focused on the initiatives below: + **Global Control Room Portfolio Management** :...Work with key stakeholders with Global Control Room and Compliance broadly to respond to regulatory inquires… more