- Capital One (New York, NY)
- …Leading the coordination of timely and accurate responses to inquiries, requests, and reporting requirements issued by non -US regulatory bodies, ensuring ... consider this role if you:** + Understand the international regulatory environment and relevant financial services ...enterprise consistency + Coordinating regulatory reporting and key updates for senior management, synthesizing complex… more
- 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
- 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
- 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
- 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
- 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
- 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
- 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
- TD Bank (Mount Laurel, NJ)
- …of experience **Preferred Qualifications:** + 7+ years of experience in financial contingency planning, liquidity/capital management, regulatory , risk, legal or ... in a financial institution. + 3+ years of experience in regulatory compliance, conducting regulatory change impact assessments and participating in industry… 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