- Bloomberg (New York, NY)
- …with our Shared Risk and Compliance team. **What's The Role?** As the Global Exam Management and Regulatory Inquiries Officer, you will work with the ... and inquiries and to help develop the global regulatory engagement program to ensure a...Head of Risk and ComplianceShared Services, by: + Strengtheningthe regulatory exam and inquiries framework… 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
- Citigroup (Queens, NY)
- …as Enterprise Technology, & Operations. **Responsibilities:** + Lead and maintain the Global Regulatory Reporting (GRR) Risk Management Framework, ensuring the ... the Controllers Organization that will report up through the Global Head of Regulatory Reporting. The position...control frameworks. + Proven track record in issues management, regulatory exam response and control oversight. +… more
- Citigroup (New York, NY)
- …Responsibilities: Contributes to the engagement and oversight of Citi's Finance global regulatory agenda, including: + Centrally coordinates Citi's Finance ... global regulatory agenda to help manage and/or support on-site or...Finance functions to develop cohesive and comprehensive responses to regulatory inquiries , on a timely basis. Process… more
- US Bank (Hackensack, NJ)
- … Exams . Review and approve shareholder statements, shareholder applications, regulatory documents and tax forms. Assist Senior Relationship Managers with daily ... Ability to build strong working relationships by promptly responding to client inquiries and understanding clients' priorities while working to ensure ongoing client… more
- TD Bank (New York, NY)
- …with non-routine information + Manages/assists with regulatory reviews including inquiries , audits, and exams + Identifies and leads problem resolution ... + Experience with compliance testing and monitoring frameworks + Exposure to regulatory exams and examination processes + Background in issue management,… more
- SMBC (New York, NY)
- …trading. + Serve as the primary contact with regulators during exams and inquiries , managing all regulatory exams . + Oversee the preparation and ongoing ... parent, global operating model. + Direct experience managing regulatory exams (particularly SEC exams ). + Fund compliance experience (public… more
- Citigroup (New York, NY)
- …and lead people across cultures at a senior level + Experience in managing regulatory exams and relationships with examiners, auditors, etc. + Awareness of ... of new regulatory requirements. + Managing strategy and responses to regulatory examinations, reviews and inquiries and internal and external investigations,… more
- TD Bank (New York, NY)
- …with non-routine information + Manages/assists with regulatory reviews including inquiries , audits, and exams + Identifies and leads problem resolution ... risk assessment, reporting and other activities;** + **Internal Audit, regulatory exam , and ongoing supervision management, finding...We Are:** TD is one of the world's leading global financial institutions and is the fifth largest bank… more
- Citigroup (Jersey City, NJ)
- …+ Gathering, reviewing, investigating and analyzing trade data as well as responding to regulatory inquiries from each of the major regulatory bodies (eg ... issues that are identified. + Participating in ad-hoc requests, special projects and regulatory exams directed by other organizations within the compliance or… more