Regulatory Compliance Associate

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 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...

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 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...

Job Title: Business Analyst - Transaction ReportingInfosys is seeking a highly skilled Business Analyst to join our team. As a Business Analyst, you will play a critical role in ensuring the successful implementation of regulatory projects, working closely with cross-functional teams to meet the needs of business partners and stakeholders.Key...

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...

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: Compliance Controls and Compliance Risk Taxonomy Associate DirectorAt Royal Bank of Canada, we are seeking a highly skilled Compliance Controls and Compliance Risk Taxonomy Associate Director to join our team. As a key member of our Compliance department, you will be responsible for working with Business Segments' first line of defense and second...

Job Overview:RoleFidelity Internal Information Senior Compliance Advisor, FDAS Compliance The Role As a key member of the Fidelity Digital Asset Services, LLC (FDAS) Compliance team, you will serve as a trusted business partner, promoting a culture of ethical conduct and commitment to regulatory and legal obligations. In this role on the Regulatory...

Job SummaryWe are seeking a highly skilled Compliance Officer to join our team at Insurance Services Office. As a Compliance Officer, you will play a critical role in ensuring that our insurance products and services comply with all relevant regulatory requirements.Key ResponsibilitiesMonitor and analyze regulatory changes and updates to ensure compliance...

Job DescriptionAt RBC Capital Markets, LLC, we are seeking a highly skilled Regulatory Services Associate to join our team. This role is responsible for ensuring timely, accurate, and complete reporting to various exchanges, self-regulatory organizations, and the SEC.Key Responsibilities:Knowledgeable on day-to-day reporting activities and ensures all...

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,...

Job Title: Sr. Compliance AdvisorJob Summary:Fidelity Internal Information is seeking a highly skilled Sr. Compliance Advisor to join our team. As a member of our Compliance team, you will play a critical role in promoting a culture of ethical conduct and commitment to compliance, regulatory, and legal obligations.Key Responsibilities:Manage the money...

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...

Regulatory Affairs ProfessionalFairway Consulting Group is seeking a highly skilled Regulatory Affairs professional to join our team. As a key member of our team, you will be responsible for developing and implementing regulatory strategies that align with business objectives, ensuring compliance with global regulations while driving sustainable growth and...

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...

Job SummaryWe are seeking an experienced Security GRC Specialist - Regulatory Lead to join our team at Societe Generale. The successful candidate will be responsible for managing the regional cyber regulatory compliance program, including assessing requirements, communicating with internal stakeholders, and ensuring required controls are in place.Key...

Job DescriptionAt Verisk Analytics, we are seeking a highly skilled Director of Corporate Compliance Governance to join our team. As a key member of our organization, you will be responsible for developing and implementing effective compliance governance programs to ensure our company's adherence to regulatory requirements and industry standards.Key...

Job Description:The RoleAs a Senior Compliance Advisor for the FI & FBOT Regulatory Management team, you will have direct contact with the SEC, FINRA and other regulators. You will be responsible for responding to regulatory inquiries and managing examinations related to Clearing, Custody, and Capital Markets.The Expertise and Skills You Bring You have...

Job SummaryWe are seeking a highly skilled Compliance Risk Officer to join our Surveillance Intelligence Unit within Independent Compliance Risk Management (ICRM). The successful candidate will be responsible for designing, implementing, and overseeing controls and solutions to support Surveillance, Employee Compliance, and Control Room teams in detecting...