- JPMorgan Chase (New York, NY)
- …professional courtesy and acumen, and deliver flawless work output. This role supports the Global Technology Regulatory Exam Management team in the US ... which handles technology focused regulatory examinations and regulatory engagements conducted by banking and securities regulators, including the OCC, FRB,… more
- US Bank (Minneapolis, MN)
- …the successful creation, implementation, and maintenance of an effective risk management framework. Lead projects and/or activities that ensure compliance with ... May influence policies and procedures to maximize profit potential and minimize regulatory exposure. Accountable for an effective partnership between the Line of… more
- Citigroup (New York, NY)
- …issues identified during regulatory engagement, including the various stages of the exam management lifecycle. + Monitoring the full lifecycle of identified ... Serves as a Senior Regulatory Engagement Manager for Citi's Services businesses, responsible... communication. + Leading and mentoring team members through exam and interaction process by providing expertise on how… more
- Citigroup (New York, NY)
- …plan, record retention strategy and related risk and controls activities. + Support Regulatory Exam Management and Regulatory engagement teams, ... + Analyze quantitative and qualitative data to identify key points to include in regulatory and senior management materials. + Respond to feedback and adjust… more
- Citigroup (New York, NY)
- … Engagement Team is responsible for the engagement strategy and execution and the regulatory exam management execution and oversight across all of Citi's ... in line with regulatory expectations. + Provide regulatory agency relationship support as needed (logistics, technology...**Job Family Group:** Regulatory Engagement **Job Family:** Regulatory Liaison & Exam Management … more
- Scotiabank (New York, NY)
- …**Overview** The incumbent is responsible for supporting and coordinating supervisory exam management , continuous regulatory monitoring interactions, ... oversight of regulatory remediation and reporting to internal Bank senior management and committees on regulatory topics. The role includes partnering… more
- American Express (New York, NY)
- …effective + Work closely and coordinate with various regulatory reporting, technology , data governance, service management , teams to ensure quality assurance ... reporting purposes. The team partners closely with the Regulatory Report owners, Technology , Data Governance, and...wide projects, initiatives, reviews, and audits eg, Federal Reserve Exam , Internal Audit Group review and others. + Lead… more
- UNUM (Portland, ME)
- … regulatory issues. + Oversees teammates to ensure the product development, regulatory exam and/or complaints processes are being properly managed and ... to manage issues, risks, and timely delivery of initiative results. Partners with management team to identify and address regulatory compliance concerns for… more
- Raymond James Financial, Inc. (Memphis, TN)
- …with management to identify and mitigate financial, reputational, and regulatory risks. The analyst also contributes to the interpretation and implementation of ... to 12 months **Certifications** OS - Operations Professional - Financial Industry Regulatory Authority (FINRA), Securities Industry Essentials Exam (SIE) -… more
- American Express (New York, NY)
- …metrics * Work closely and coordinate with various regulatory reporting, technology , data governance, service management , teams to ensure the quality ... deliver QA responsibilities and will work in close coordination with Regulatory Reporting, Finance Data Governance, Service Management , Technologies, and… more
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