Regulatory Officer Jobs

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Hi, This is Nadeem from Globalnest. We have an urgent opening for IT Business Analyst for Regulatory Reporting with Accenture/Credit Suisse at NYC, NY. Positions: #2 Title: IT Business Analyst for Regulatory Reporting Duration: Long Term Location: NYC Client: Accenture/Credit Suisse Key pointers: The resource should be IT BA with Reg reporting experience in IHC (Federal 9C,14Q,14A,14M,9LP,0...

Responsibilities The Senior Compliance Officer Regulatory Intelligence is an experienced compliance contributor with a broad knowledge of the federal and state regulations affecting large financial institutions and may possess specific subject matter expertise in regulatory matters in one or more disciplines (Consumer, Commercial, Securities, Insurance, or Trust). Demonstrated background in manag...

The Business Conduct Regulatory Risk Officer will report directly to the Business Conduct Manager and will be responsible for reviewing the firm’s compliance with broker-dealer and advisory rules and regulation. The ideal candidate is able to work independently under minimal supervision with an attention to detail and accuracy. Responsibilities include, but are not limited to: Testing, verificat...

You will be responsible for administering the bank regulatory compliance program for UBS Investment Bank working closely with other Legal and Compliance professionals and other functions. As the Bank Regulatory Compliance Officer, you will develop and maintain bank compliance policies and programs and will implement the required monitoring and controls. Aspects of bank compliance responsibilities ...

Responsibilities The Senior Compliance Officer Regulatory Intelligence is an experienced compliance contributor with a broad knowledge of the federal and state regulations affecting large financial institutions and may possess specific subject matter expertise in regulatory matters in one or more disciplines (Consumer, Commercial, Securities, Insurance, or Trust). Demonstrated background in manag...

Sr. Compliance Officer - Regulatory Monitoring Location - Buffalo, NY   The Opportunity: Responsible for assisting the Compliance Administration Manager in the management of oversight compliance with respect to laws, regulations, and / or programs applicable to subject matter business activities of the bank. Subject matter business activities can include: Deposits, Lending, Fiduciary, Broke...

Morgan Stanley (“MS”) is a global financial services firm that conducts its business through three principal business segments—Institutional Securities, Wealth Management (WM), and Asset Management. The Compliance Risk Officer position is with Morgan Stanley Private Bank, National Association (the “Bank” or “MSPBNA”) on the Bank’s Operational Risk Team. The Bank provides deposit and lending produc...

Responsibilities The Senior Compliance Officer Regulatory Intelligence is an experienced compliance contributor with a broad knowledge of the federal and state regulations affecting large financial institutions and may possess specific subject matter expertise in regulatory matters in one or more disciplines (Consumer, Commercial, Securities, Insurance, or Trust). Demonstrated background in manag...

The Compliance Officer will be a member of the Regulatory Compliance team within the Legal and Compliance Department at PIMCO’s headquarters in Newport Beach, CA. The Compliance Officer is responsible for working with the Regulatory Compliance team to facilitate PIMCO’s compliance program. The candidate will primarily be responsible for assisting with the implementation of the compliance requireme...

Responsibilities The successful candidate will work with Senior and Executive management of all divisions of BBVA Compass and other BBVA US institutions and will maintain a comprehensive knowledge or current rules, regulations, laws, policies and procedures related to banking activities. Must be and will remain knowledgeable of the bank ratings process especially as related to a foreign bank owne...

Responsibilities The Compliance Officer Regulatory Intelligence will be a key member of the Regulatory Intelligence Services team driving the culture of regulatory change and development compliance across the organization. This position requires excellent communication and technical skills to provide immediate value by identifying applicable banking laws, rules, regulations, and guidance to deter...

Responsibilities The Compliance Officer Regulatory Intelligence will be a key member of the Regulatory Intelligence Services team driving the culture of regulatory change and development compliance across the organization. This position requires excellent communication and technical skills to provide immediate value by identifying applicable banking laws, rules, regulations, and guidance to deter...

At least 5 years of work experience related to project management. Work in financial services, a financial institution or financial regulatory agency is preferred. An ability to understand and assess consumer laws and regulations impacting consumer financial services ( e.g. Truth in Savings Act, Electronic Funds Transfer Act, Gramm Leach Bliley, Equal Credit Opportunity Act, Truth-in-Lending, Real...

Responsibilities The Senior Compliance Officer Regulatory Intelligence is an experienced compliance contributor with a broad knowledge of the federal and state regulations affecting large financial institutions and may possess specific subject matter expertise in regulatory matters in one or more disciplines (Consumer, Commercial, Securities, Insurance, or Trust). Demonstrated background in manag...

Lead the updating (incl. drafting), implementation and preparation of AML (incl. Anti-Corruption, Anti-Fraud and Sanctions Compliance) policies and training materials ; manage policy and training-related projects impacting multiple business lines; Draft communications and training materials; advise authors on policy standards and edit policies in development; Serve as a AML policy Gatekeeper to is...

Responsibilities The Compliance Officer Regulatory Intelligence will be a key member of the Regulatory Intelligence Services team driving the culture of regulatory change and development compliance across the organization. This position requires excellent communication and technical skills to provide immediate value by identifying applicable banking laws, rules, regulations, and guidance to deter...

Responsibilities The Compliance Officer Regulatory Intelligence will be a key member of the Regulatory Intelligence Services team driving the culture of regulatory change and development compliance across the organization. This position requires excellent communication and technical skills to provide immediate value by identifying applicable banking laws, rules, regulations, and guidance to deter...

Responsibilities The successuful candidate will work with Senior and Executive management of all divisions of BBVA Compass and other BBVA US institutions and maintain a comprehensive knowledge or current rules, regulations, laws, policies and procedures related to banking activities. Will remain knowledgeable of the bank ratings process especially as related to a foreign bank owned organization. ...

Responsibilities The Compliance Officer Regulatory Intelligence will be a key member of the Regulatory Intelligence Services team driving the culture of regulatory change and development compliance across the organization. This position requires excellent communication and technical skills to provide immediate value by identifying applicable banking laws, rules, regulations, and guidance to deter...

• 5 years of experience in banking compliance, legal or other control-related function in the financial services industry; • Bachelor’s Degree Required; • Excellent analytical and written and verbal communication skills; • Experience with and previous exposure to internal control functions and regulators within the US and, in particular, banking regulators; • Ability to align existing and deve...