• Capital Markets Compliance…

    CIBC (New York, NY)
    …CIBC, please visit CIBC.com (https://www.cibc.com/en/about-cibc.html) **What You'll Be Doing:** The Capital Markets Compliance Examination Specialist ... is responsible for the execution of the US Compliance Examination Plan established to ensure adherence... compliance . This position primarily supports the US Capital Markets line of business, which includes… more
    CIBC (08/21/25)
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  • Capital Markets Segment Risk Manager

    Huntington National Bank (Columbus, OH)
    Description The Capital Markets Segment Risk Manager reports to the Capital Markets Segment Risk Officer and will have responsibility for driving and ... overseeing key risk activities for Capital Markets . Key risk activities include identifying,...analyzes risk impact by pillar (Credit, Operational, Strategic, Reputation, Compliance , Market , and Liquidity); and advises strategies… more
    Huntington National Bank (08/23/25)
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  • Compliance Manager, Capital…

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …aligned with RJF Central Compliance . + May support other business units within Capital Markets Compliance . + Provides support and guidance to ... analyze, and resolve complex issues. **Essential Duties and Responsibilities** + Assists the Capital Markets Fixed Income Compliance team with managing their… more
    Raymond James Financial, Inc. (08/22/25)
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  • Sr. Advisor, Compliance - TriState…

    Raymond James Financial, Inc. (Pittsburgh, PA)
    …banking regulatory agencies. + Principles of banking and finance operations. + Financial markets and products. **Skill in:** + Overseeing compliance programs. + ... **TriState Capital Bank is an independent chartered bank subsidiary...training and/or certification in the banking industry to ensure compliance with all banking rules and regulations. Coordinates … more
    Raymond James Financial, Inc. (08/08/25)
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  • Senior Risk Asset Review Examination…

    Wells Fargo (West Des Moines, IA)
    …for complex lines of business, including large corporate, asset-based lending, and capital markets . + Interact with line of business senior management ... are accountable for execution of all applicable risk programs (Credit, Market , Financial Crimes, Operational, Regulatory Compliance ), which includes effectively… more
    Wells Fargo (09/04/25)
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  • Physical Collateral Examination Associate…

    Wells Fargo (Atlanta, GA)
    **About this role:** Wells Fargo is seeking a Physical Collateral Examination Associate Manager within Wells Fargo Commercial Capital . Learn more about the ... are accountable for execution of all applicable risk programs (Credit, Market , Financial Crimes, Operational, Regulatory Compliance ), which includes effectively… more
    Wells Fargo (09/06/25)
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  • Compliance Examiner 1-4

    Louisiana Department of State Civil Service (LA)
    …on safety and soundness and compliance with laws and regulations. Examination procedures may include analysis of capital , asset quality, earnings, liquidity, ... of stockholder's equity such as common stock, preferred stock, capital surplus, retained earnings, and subordinated debt to determine...type N/A. 04 Do you have any prior audit, examination , or compliance experience specifically related to… more
    Louisiana Department of State Civil Service (08/08/25)
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  • Compliance Officer, Regulatory Relations…

    TD Bank (New York, NY)
    …for ADA purposes. **Who We Are** TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients ... the impact and advise the business on current and emerging regulatory and compliance issues and industry or market developments to ensure that anticipated… more
    TD Bank (08/02/25)
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  • Business Controls Analyst Senior

    City National Bank (Los Angeles, CA)
    …Bank's ("CNB") Business Control Officer ("BCO") and Business Control Managers ("BCM"s) for Capital Markets and will partner with the Risk Framework leadership ... risk functions, ensuring sound control practices and risk mitigation across our Capital Markets businesses: Foreign Exchange (FX), Interest Rates, Syndication,… more
    City National Bank (08/07/25)
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  • Director of Examinations (Financial/Credit…

    State of Colorado (Denver, CO)
    …policy & risk expertise, with an emphasis on risk management, governance, capital markets , BSA/AML, IT/cybersecurity, or trust/fiduciary activities; + Analytical ... policy & risk expertise, with an emphasis on risk management, governance, capital markets , BSA/AML, IT/cybersecurity, or trust/fiduciary activities 16 DORA Q16:… more
    State of Colorado (08/22/25)
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