- American Electric Power (Columbus, OH)
- …close on the day before the posting end date. **Job Summary** Regulatory professional who possesses extensive technical knowledge regarding rate design theory and ... high value input for corporate, operating company, and business unit regulatory strategy development and coordination, and support for recommended negotiation… more
- AbbVie (North Chicago, IL)
- …quality standards, cGMP, and external agency regulations to lead preparedness for regulatory inspections and audits at AbbVie sites across the global network. Drives ... and audits. Responsibilities + 50-75% Travel Required + Leads preparedness for regulatory inspections by ensuring AbbVie sites are compliant with global standards… more
- TD Bank (New York, NY)
- …and TD Wealth Management Services Inc) with independent and complex regulatory regimes.** **The Financial Advisors, Relationship Managers, and Investment Advisors ... applicable state and federal securities laws** + **Assist in regulatory requests and exams, and help manage responses to...other characteristic protected under applicable federal, state, or local law . If you are an applicant with a disability… more
- TD Bank (Greenville, SC)
- …manages ongoing marketing items to ensure compliance with firm and regulatory policy. Teammates interact directly and independently with field leadership, advisors, ... regulatory agencies and provides advice and guidance for document...other characteristic protected under applicable federal, state, or local law . If you are an applicant with a disability… more
- TD Bank (New York, NY)
- …activities. Ensuring compliance with all internal governance documents and regulatory requirements.** **Establish and maintain comprehensive reporting and governance ... teams to implement testing procedures that ensure compliance with regulatory requirements and internal governance standards.** **Assist in the preparation… more
- TD Bank (Mount Laurel, NJ)
- …federal securities laws.** + **Help mitigate risk and ensure the firm meets regulatory obligations.** + **Handle the onboarding and offboarding of new hires.** + ... **Provide training to the field on various regulatory topics, including onboarding new hire training.** + **Delivers...other characteristic protected under applicable federal, state, or local law . If you are an applicant with a disability… more
- TD Bank (Mount Laurel, NJ)
- …appropriate. **Department Overview:** **U.S. Wealth Compliance acts as an independent regulatory compliance and conduct risk management and oversight function as ... risk assessment, reporting and other activities** + **Internal Audit, regulatory exam, and ongoing supervision management, finding tracking, and remediation… more
- TD Bank (New York, NY)
- …for Compliance Strategy and Operations (S&O)** to support the overall Regulatory Compliance Management (RCM) Program and Framework. This strategic, hands-on role ... risk management and operation domains with a strong emphasis on regulatory compliance. You will shape data strategy, collaborate cross-functionally, and assist… more
- TD Bank (New York, NY)
- …Description:** The Global Compliance Surveillance Department is responsible for overseeing regulatory compliance across TDS in accordance with the Global Compliance ... Operating Framework. The team is accountable for promoting regulatory compliance by developing and maintaining a comprehensive Trade Surveillance program, including… more
- TD Bank (New York, NY)
- …+ Lead cross-functional teams and steer implementation, maintenance, and enhancement of regulatory compliance and risk management objectives + Lead the execution of ... and third-party service providers to deliver Compliance programs that satisfy regulatory requirements. **Depth & Scope:** + Expected to exercise sound and… more