- Raymond James Financial, Inc. (Memphis, TN)
- **Essential Duties and Responsibilities** + Oversees compliance exception reporting processes and approves corrective actions. + May coach, train, and mentor ... Planning and scheduling work to meet regulatory organizational and regulatory requirements. + Identifying and applying appropriate compliance monitoring… more
- TD Bank (Charlotte, NC)
- …professional certification (eg, CRCM, CAMS, PMP) preferred.** + **Familiarity with regulatory expectations tied to enterprise compliance programs, governance, ... to develop proactive strategies, tactics, policies and programs to effectively manage regulatory / compliance issues + Meets with business ( Compliance )… more
- Heritage Financial Credit Union (Middletown, NY)
- …a difference in the lives of our members and our community. POSITION PURPOSE Regulatory Compliance is responsible for developing and maintaining a Compliance ... experience in a financial institution, auditing firm, or consulting firm with regulatory compliance focus + Bank operations experience in mortgage originations,… more
- TD Bank (Charlotte, NC)
- …We are seeking a strategic and analytical Manager to join our Enterprise Regulatory Compliance Management (RCM) Risk Assessment team. This role is ideal ... efforts, and alignment with regulatory expectations.** + **Participate in regulatory reviews, internal audits, and compliance testing as needed.** The… more
- TD Bank (Charlotte, NC)
- …to draw conclusions, make recommendations, assess the effectiveness of enterprise Compliance programs + Participates in/manages regulatory examinations and ... who can provide you more specific details for this role. **Line of Business:** Compliance **Job Description:** At TD Bank US Compliance , we're on a mission… more
- KeyBank (NY)
- …and monitoring processes (including analytics), and applicable techniques for implementation of regulatory compliance requirements and compliance processes + ... training or continuing education opportunities to further develop overall knowledge of regulatory compliance , banking products and services, industry trends, and… more
- State of Colorado (Denver, CO)
- …former State experience relevant to this position, especially experience working in regulatory compliance at an administrative agency. + Professional experience ... 08 Please describe whether you have experience working in regulatory compliance at an administrative agency. Please...a description of where the experience was obtained, the duties performed, and mm/yy to mm/yy. Statements such as… more
- Xylem (Chaska, MN)
- …**The Role:** The **Senior Product Compliance Analyst** is focused on product compliance to regulatory requirements for medical devices in the US, Canada and ... for product approvals, licenses, and permits, and monitor post-market compliance . They also advise on regulatory requirements...the position and is not an exhaustive list of duties . Xylem is dedicated to providing reasonable accommodations to… more
- Berkshire Bank (Boston, MA)
- …Trust regulations, state guidelines, and the Investment Advisers Act of 1940Maintain Regulatory Compliance Calendar. Attend corporate compliance and fraud ... Officer Asset Management will develop, strengthen, and maintain the compliance and regulatory processes for the Asset...uphold ethical standards related to and required by ones duties . Education: + Education in finance, business, legal or… more
- Vanguard (Malvern, PA)
- …best practices to ensure optimal effectiveness of management and mitigation of regulatory and compliance risks, including driving collaboration and efficiencies ... registration (eg FINRA, state). These will be determined by Compliance based on role-specific duties . (Series 7,...within 6 months if not currently held). + Certified Regulatory and Compliance Professional (CRCP) designation is… more