- Charles Schwab (Austin, TX)
- …working in trust / custody environments, the retirement plan industry, and financial services regulatory matters. Key responsibilities will include: + Provide ... Form 5500 filings for each Trust Bank CTF + Review of annual financial statements Regulatory subject matter expert with responsibility for: + Identification,… more
- Scotiabank (New York, NY)
- …(Regulation QQ), and support with implementation of any required changes based on regulatory reporting standards and guidelines. + Assist with the US Liquidity ... to the overall success of the US Treasury team by supporting regulatory compliance, enhancing liquidity reporting and analytics, and executing strategic… more
- MUFG (Jersey City, NJ)
- …**What you'll bring** **Must have** + 3-4 years of experience in Financial Services or similar within Risk Reporting , Compliance, Technology Risk/Cybersecurity, ... (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association… more
- Scotiabank (New York, NY)
- …QQ), and support with implementation of any required changes based on regulatory reporting standards and guidelines. + Actively participate in developing ... Reporting & Analytics team for Scotiabank to ensure regulatory compliance, prepare and enhance liquidity reporting ...degree in business, accounting, finance, mathematics or economics. A non -business degree combined with CFA or FRM would be… more
- SMBC (New York, NY)
- …support across the Advisory Function with respect to broker-dealer-applicable regulatory engagements, support function coordination, governance and reporting . ... (ie, Registrations, Outside Business Activities and Personal Account Dealing) + Financial Crimes Compliance + Regulatory Change Management + Compliance… more
- MUFG (Tempe, AZ)
- … reporting templates and dashboards to better meet evolving business and regulatory needs. **Governance & Compliance** + Ensure reporting outputs comply with ... periodic review and audit requests. **Qualifications:** + 3-5+ years of experience in Financial Services or Risk Reporting , with demonstrated exposure to credit… more
- University of Pennsylvania (Philadelphia, PA)
- …including overseeing the activities of a Regulatory Office (or Regulatory Program)/ reporting regulatory affairs staff, anticipating and planning ... the activities of a Regulatory Office (or Regulatory Program)/ reporting regulatory affairs staff,...be. + Long-Term Care Insurance: In partnership with Genworth Financial , Penn offers faculty and staff (and your eligible… more
- Aegon Asset Management (Cedar Rapids, IA)
- Job Family Regulatory Compliance About Us At Transamerica, hard work, innovative thinking, and personal accountability are qualities we honor and reward. We ... than a century ago, we were among the first financial services companies in America to serve everyday people.... Job Description Summary Ensure compliance with statutory and regulatory guidelines for ERISA, Internal Revenue Code and other… more
- Capital One (Chicago, IL)
- …deliverables. + Support development of well-structured, accurate drafts of regulatory deliverables, including periodic supervisory reporting . + Monitor ... Manager, Regulatory Affairs & Liaison Support Capital One, a...nation's top 10 banks, offers a broad spectrum of financial products and services to consumers, small businesses and… more
- TD Bank (Mount Laurel, NJ)
- …area and business + Contact for business management, dealing with non -routine information + Manages/assists with regulatory reviews including inquiries, ... Compliance for Credit Cards and Unsecured Lending, specifically related to regulatory compliance monitoring. This role will execute monitoring, conduct regulatory… more