Regulatory Exam Lead

The Regulatory Exam Management Lead will play a pivotal role in the broker-dealer function of a leading bank, driving the expansion and enhancement of their compliance program.About the RoleAs part of our team at Michael Page, you will be responsible for managing regulatory examinations for wholesale businesses, covering key areas such as operations,...

Job SummaryWe are seeking a highly skilled Regulatory Exam Compliance Specialist to join our team. This role will be responsible for managing regulatory examinations, preparing business personnel for regulator meetings, and supporting TD's ongoing supervision program.About the RoleThe ideal candidate will have 5-7 years of related experience, with a strong...

iQE-q is a premier service provider to the alternative asset industry. our goal is to provide top-notch compliance solutions that cater to the unique needs of our clients.as a regulatory affairs specialist, you will play a critical role in helping our clients navigate the complexities of regulatory requirements. this position requires strong knowledge of...

Are you a seasoned professional with expertise in regulatory compliance and operations management? Do you have a strong understanding of banking regulations and a passion for fostering effective relationships with regulators? We are seeking a highly skilled Reg&Exam Senior Officer to join our team at Citigroup, Inc.This role involves leading regulatory...

Job OverviewIQ-EQ is a leading provider of services to the alternative asset industry, working closely with managers across multiple capacities. As a Compliance Officer and Regulatory Affairs Expert, you will join our firm's compliance team in assessing, developing, implementing, and testing compliance programs for clients in the alternative and traditional...

Athari seeks a seasoned Regulatory Compliance Lead to oversee regulatory approval, submission, and policy processes. This critical role ensures compliance with applicable requirements for all lines of business. Estimated salary: $125,000 - $170,000.ResponsibilitiesContribute to the annual risk assessment, collaborating with Compliance teams, to identify...

Job Description:As a key member of the team, you will be responsible for maintaining relationships and interactions with regulators through the execution of the overall strategy for regulatory engagement and enterprise-wide standards. This includes managing regulatory examinations, inquiries, and meetings.Key ResponsibilitiesServing as the primary point of...

Job DescriptionOur ideal candidate will have expertise in pre-market approval processes, clinical trial oversight, and interaction with regulatory bodies both in the US and internationally. Experience with PMA processes, 510(k) submissions, and clinical trials is highly desirable.The successful candidate will lead the development and execution of regulatory...

Sia Partners is a leading management consulting firm that specializes in risk management and regulatory compliance. We are seeking a talented Regulatory Compliance Project Lead to join our team and support our clients in achieving their goals.The successful candidate will have a strong background in project management and a deep understanding of regulatory...

Job Title:Regulatory Compliance Project Lead Company Overview:Crédit Agricole CIB, a leading financial institution, seeks a skilled Regulatory Compliance Project Lead to join our team in this exciting role. Estimated Salary:$120,000 - $180,000 per year Job Description:Project Management Responsibilities:Assists with defining program controls, processes,...

The Vice President, Compliance Consulting role at Kroll requires an individual with strong regulatory expertise to manage multiple clients and provide practical compliance guidance. This includes staying current on regulatory developments and best practices, and contributing to team learning and culture. Key responsibilities include developing and...

Job TitleRegulatory Compliance Specialist - Sanctions ProgramJob SummaryWe are seeking a highly skilled Regulatory Compliance Specialist to join our sanctions program team. As a key member of our compliance department, you will play a critical role in supporting sanctions programs, conducting reviews, and ensuring regulatory excellence.Key Responsibilities...

ResponsibilitiesAssist with annual, quarterly, and monthly regulatory filings to maintain our company's compliance with various money transmitter licenses.Work with Accounting and EPD teams to ensure compliance with new and existing products.Manage internal escalations related to money movement and provide support to operational teams, including Fraud and...

Job Summary We are seeking a highly skilled Senior Regulatory Engagement Specialist to join our team at Citigroup, Inc. in New York. The ideal candidate will have 6-10+ years of experience in financial services, regulatory engagement or consulting, with a strong background in writing and copy-editing. About the Role As a Senior Regulatory Engagement...

Key Responsibilities:Oversee the processing of U4/U5/BD Amendments filings and disclosures.Act as a liaison with Recruiting and Human Capital Management for recruiting and new hire matters.Coordinate the scheduling of employee exams and training materials.Generate periodic supervisory reports and management reports.Requirements:At least 3 years of experience...

About the RoleKashable is a pioneering FinTech company revolutionizing financial wellbeing for working Americans. We are seeking an experienced Director of Compliance to join our dynamic team and drive strategic compliance initiatives.The successful candidate will be responsible for leading a team of compliance professionals, developing and implementing the...

Shulman Fleming & Partners seeks an experienced Senior Program Manager to lead large-scale initiatives in the regulatory space. Located in New York City, this role offers a hybrid schedule and a competitive salary range of $190k to $250k per year.The ideal candidate will have significant experience delivering major initiatives at complex financial...

About the RoleWe are seeking an experienced Regulatory Change Management Lead to join our Corporate Compliance team at Crédit Agricole CIB. This role will be responsible for overseeing the implementation and maintenance of our regulatory change management program, ensuring that we remain compliant with all relevant laws and regulations.

Regulatory Partner OpportunityRightWorks, a leading law firm, seeks a talented Regulatory Partner to join its Antitrust and Healthcare practice in New York City. The ideal candidate will have extensive expertise in antitrust matters specific to the healthcare industry, particularly hospital systems.About the Role:This is a unique opportunity to join a...

Regulatory Compliance Officer Job SummaryWe are seeking a highly skilled Equities Regulatory Compliance Officer to join our team in New York. As a key member of our Americas Compliance team, you will be responsible for providing regulatory/compliance advice and support to our equity and equity derivatives trading and operational functions.This role is ideal...