- SMBC (Los Angeles, CA)
- …communicating to senior management and relevant parties. + Tracking the status of regulatory inquiries , exams , reviews and findings and circulates ... SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with...Regulatory Relations team is the primary contact for regulatory interactions and exam management for US… more
- SMBC (New York, NY)
- … Regulatory Governance Team supports SMBC's Broker-dealer entity in managing regulatory exams and responding to regulatory inquiries as they arise. ... SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with...coordinating the intake and responses to regulatory inquiries and managing regulatory exams .… more
- SMBC (Jersey City, NJ)
- …Manage internal audits and regulatory examinations, and assist with responding to regulatory inquiries . + Respond to FINRA and State regulators as needed ... SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with...check process, fingerprinting and reporting. + CE program management: Regulatory element, firm element and contribute to other trainings..… more
- BWX Technologies, Inc. (Erwin, TN)
- …engineering innovator that provides safe and effective nuclear solutions for global security, clean energy, environmental restoration, nuclear medicine and space ... Medical Specialist 2 & 3 with the administration of the NFS Physical Exam program to include scheduling physicals and assisting the company physician with physicals,… more
- Scotiabank (Dallas, TX)
- Director, Global Sanctions Exam Management, Regulatory and Emerging Risks **Requisition ID:** 244379 **Salary Range:** 157,700.00 - 264,200.00 _Please note ... impacts for an organization. The incumbent is responsible to lead and oversee the Global Sanctions Exam Management, Regulatory and Emerging Risks function,… more
- Scotiabank (Tampa, FL)
- …for the TAO and GTB business. + Provide Compliance support for Compliance Testing, Audits, Regulatory Exams , and inquiries for the TAO and GTB business. + ... Director, US Bank Regulatory Compliance, Global Transaction Banking **Requisition...of relevant policies and procedures, risk assessments, responding to regulatory inquiries , etc. + Sound judgment in… more
- Travelers Insurance Company (St. Paul, MN)
- …The market regulatory activities involve reviewing and validating responses to inquiries and alleged violations from regulatory bodies, soliciting input from ... facilitate and direct the management and validation of non-financial market regulatory activities, including market conduct exams , interrogatories, surveys, and… more
- TD Bank (New York, NY)
- …mid- range planning (eg 6-12 months) + Manages regulatory reviews including inquiries , audits, and exams **Education & Experience:** + Bachelors degree or ... a team(s) of specialists/professionals providing advice, guidance and expertise on regulatory requirements and assisting business units to manage their regulatory… more
- Capital One (Chicago, IL)
- …management capabilities across diverse functional teams, ensuring continuous audit and regulatory exam readiness. Proven success overseeing complex regulatory ... Senior Business Director - Network Surveillance Monitoring and Regulatory Strategy We are seeking a highly experienced strategic and execution-oriented Senior… more
- TD Bank (New York, NY)
- …dealing with non-routine information + Manages/assists with regulatory reviews including inquiries , audits, and exams + Deep knowledge and understanding of ... in special projects, including assisting with adherence to enterprise-wide initiatives including global policies and governance. + Assist with regulatory and… more
