Regulatory Services Associate

Job SummaryWe are seeking a highly skilled Regulatory Services Associate to join our team at RBC Capital Markets, LLC. As a key member of our compliance team, you will be responsible for ensuring timely, accurate, and complete reporting to various exchanges, self-regulatory organizations, and the SEC.Key ResponsibilitiesDay-to-day operational execution of...

Position Overview What is the role? The Regulatory Compliance team at RBC Capital Markets, LLC is dedicated to ensuring precise and timely reporting to regulatory bodies, including exchanges and self-regulatory organizations. This position emphasizes operational execution and strategic planning within the regulatory domain. Key responsibilities encompass...

Job SummaryThe Associate Director, Bank Regulatory Compliance will provide Compliance expertise and knowledge in the design and implementation of the U.S. Cash Management Business.Key ResponsibilitiesSupport the management of the compliance program across Corporate Banking, Cash Management related business activities and business lines within 3WFC in...

Job SummaryThis is an exciting opportunity on the Regulatory Relations team as an Associate Director responsible for the execution of a consistent U.S. Confidential Supervisory Information (CSI) program. The role involves effective CSI training, communications, monitoring controls related to the management, distribution, and handling of CSI. The Associate...

Job DescriptionWe help the world see new possibilities and inspire change for better tomorrows. Our analytic solutions bridge content, data, and analytics to help business, people, and society become stronger, more resilient, and sustainable.**Key Responsibilities**Timely approval and implementation of regulatory filings of insurance program coverage forms,...

Regulatory Group Overview The Regulatory Group at Jefferies is responsible for ensuring compliance with regulatory requirements and industry best practices. As a member of this team, you will play a critical role in maintaining the Firm's regulatory posture and contributing to the development of regulatory initiatives. Key Responsibilities * Assist in the...

Job SummaryWe are seeking a highly skilled Regulatory Compliance Specialist to join our team at Jefferies. As a key member of our Regulatory Group, you will be responsible for assisting in the administration of our branch inspection program, participating in industry regulatory initiatives, and assisting in other tasks performed by our Regulatory team.Key...

Job SummaryWe are seeking a highly skilled Regulatory Policy Specialist to join our team at SMBC. As a key member of our regulatory team, you will be responsible for providing expert advice on regulatory policies and procedures to our stakeholders.ResponsibilitiesProvide regulatory reporting advice and guidance to stakeholders on technical regulatory...

Job Title: Regulatory Policy SpecialistSumitomo Mitsui Banking Corp is a leading global financial institution with a rich history and diverse range of financial services. We are seeking a highly skilled Regulatory Policy Specialist to join our team in New York.Responsibilities:Rule Interpretation: Provide expert advice to stakeholders on regulatory policies,...

Regulatory Reporting SpecialistSMBC Group is a leading global financial institution with a rich history and diverse range of financial services. As a Regulatory Reporting Specialist, you will play a critical role in ensuring the accuracy and compliance of our regulatory reports.Responsibilities:Partner with the Regulatory Reporting Analysis team to...

Job Title: Regulatory Policy SpecialistSMBC Group is a leading global financial institution with a rich history spanning over 400 years. As a top-tier bank, we offer a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance. Our global presence extends to nearly 40 countries, with over 130 offices and...

Job SummaryThe Regulatory Change and Content Management Lead is responsible for leading the U.S. Compliance Regulatory Change and Content Management process, consistent with established Enterprise Regulatory Compliance Management (RCM) Regulatory Change Management Control Standard.Key ResponsibilitiesLead Regulatory Change and Content Management...

Head of Swap Dealer Regulatory ReportingMadison-Davis, LLC is seeking a seasoned professional to lead our Swap Dealer Regulatory Reporting team. As a key member of our finance department, you will be responsible for ensuring compliance with all swap dealer financial regulatory requirements, including those set by the CFTC and NFA.Key Responsibilities:Oversee...

Regulatory Reporting SpecialistSMBC Group is a leading global financial institution with a rich history spanning over 400 years. Headquartered in Tokyo, the Group offers a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance. With a presence in nearly 40 countries and over 80,000 employees worldwide,...

Job SummaryThis is a Hybrid role within the Firm's Regulatory Group, focusing on branch inspections, regulatory exams, and ad-hoc tasks. The Regulatory Group is housed within the Firm's Legal Department. While attorneys are encouraged to apply, this position does not require a law license.Primary ResponsibilitiesAssist in the administration of the Firm's...

Job Title: Regulatory Reporting SpecialistSumitomo Mitsui Banking Corp. is seeking a highly motivated and detail-oriented Regulatory Reporting Specialist to join our team. As a key member of our Regulatory Reporting Analysis Department, you will be responsible for assisting with the automation efforts across all regulatory reports.Responsibilities:Partner...

Job Title: Regulatory OfficerSMBC Group is a leading global financial institution with a rich history spanning over 400 years. Headquartered in Tokyo, we offer a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance. Our global presence extends to nearly 40 countries, with over 130 offices and 80,000...

Regulatory Reporting SpecialistSMBC Group is a leading global financial institution with a rich history spanning over 400 years. Headquartered in Tokyo, the Group offers a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance. With a presence in nearly 40 countries and over 130 offices worldwide, SMBC...

{"Role Description": "At SMBC, we are seeking a highly motivated and detail-oriented professional to join our Regulatory Reporting Analysis Department. As a key member of our team, you will play a critical role in assisting with the automation of regulatory reports and ensuring the integrity of our data. Responsibilities Partner with Regulatory Reporting...

Job Title: Regulatory Reporting Specialist ViceSMBC Group is a leading global financial institution with a rich history and diverse range of financial services. As a Regulatory Reporting Specialist Vice, you will play a critical role in supporting the automation of regulatory reports across various subledger systems.Responsibilities:Partner with the...