- Citigroup (New York, NY)
- …as a Regulatory and Exam Manager for Internal Audit's Regulatory Management team responsible for the promotion, support, monitoring and reporting on ... **Job Family Group:** Regulatory Engagement **Job Family:** Regulatory Liaison & Exam Management **Time Type:** Full time **Primary Location:**… more
- Citigroup (Getzville, NY)
- …PowerPoint) + Experience in regulatory and Internal Audit interaction, exam management /coordination, and issue management /resolution **Job Family ... Group:** Regulatory Engagement **Job Family:** Regulatory Liaison & Exam Management **Time Type:** Full time **Primary Location:** Getzville New York… more
- Citigroup (New York, NY)
- …Word, PowerPoint) + Experience in regulatory and Internal Audit interaction, exam management /coordination, and issue management / resolution **Job Family ... Group:** Compliance **Job Family:** Regulatory Liaison & Exam Management **Time Type:** Full time **Primary Location:** New York New York United States… more
- Citigroup (New York, NY)
- …function/business/product, including cross-border impact. + Advising ICRM and function/business/product management and personnel on regulatory and compliance ... identification, tracking, and resolution of potential conflicts. + Lead the management of regulatory examinations, including pre-audit preparation, coordination… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …accuracy and effectiveness of risk information. . Ensures the business risk management practices comply with regulatory requirements and industry best practices. ... General Experience - More than 15 years **Certifications** Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA) **Salary… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- **Job Description** **Job Summary:** Under direction of the SVP , Head of Prudential Regulatory Relations, work directly with regulators and internal stakeholder ... Raymond James Trust Company of NH (RJTCNH). In this regulatory context + With the SVP , Head...regulatory monitoring activities and supervisory planning, including tracking exam findings and responses to regulatory inquiries… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- **Job Description** Under direction of the SVP , Head of Prudential Regulatory Relations, work directly with regulators and internal stakeholder to oversee the ... Raymond James Trust Company of NH (RJTCNH). In this regulatory context + The SVP , Head of...regulatory monitoring activities and supervisory planning, including tracking exam findings and responses to regulatory inquiries… more