Regulatory Compliance Specialist

Job DescriptionJefferies is seeking a highly skilled Regulatory Compliance Specialist to join its Regulatory Group. The successful candidate will be responsible for assisting in the administration of the Firm's branch inspection program, including conducting inspections, preparing reports, and participating in industry regulatory initiatives.Key...

Regulatory Reporting ManagerMadison-Davis, LLC is seeking a highly experienced Regulatory Reporting Manager to oversee daily and monthly regulatory filings, ensuring compliance with all swap dealer financial regulatory requirements. The ideal candidate will have 8+ years of experience with CFTC Swap Dealer Regulatory Reporting and a deep understanding of...

At SF Staffing Solutions, we are seeking a highly skilled Regulatory Operations Technology Specialist to join our team. The successful candidate will be responsible for developing and maintaining systems to ensure compliance with regulatory agencies around the world.The Regulatory Operations Technology Specialist will partner with various areas of the firm...

Job SummaryWe are seeking an Environmental Compliance Specialist to join our team at Actalent. This role will involve developing and implementing environmental and regulatory compliance strategies for hydropower projects.Key ResponsibilitiesConduct environmental impact assessments and ensure compliance with federal, state, and local regulations.Collaborate...

Job SummaryThis is a Hybrid role within the Firm's Regulatory Group, focusing on branch inspections, regulatory exams, and ad-hoc tasks.Primary ResponsibilitiesAssist in the administration of the Firm's branch inspection program by conducting inspections, preparing reports, and distributing findings.Participate in industry regulatory initiatives, including...

Job SummaryJob DescriptionWhat is the opportunity?The Compliance Testing Officer executes independent compliance testing for the U.S. Regulatory Compliance Management framework, a critical program element for RBC's CUSO/IHC. This position is responsible for supporting various stages of the testing lifecycle, including planning and research, gathering...

Job SummarySumitomo Mitsui Banking Corp is seeking a highly skilled Regulatory Policy Specialist to join our team. As a key member of our regulatory reporting team, you will provide expert advice on regulatory policies, product analysis, and application of regulatory reporting requirements.ResponsibilitiesProvide technical knowledge of regulatory rules for...

Job SummaryCitigroup is seeking a highly skilled Compliance Risk Management Specialist to join our team. As a key member of our Independent Compliance Risk Management (ICRM) team, you will be responsible for assessing significant compliance risks and controls implemented by the first and second line of defense. Your expertise will be essential in developing,...

Job DescriptionLenmar Consulting seeks a seasoned Compliance Testing Specialist to join our team. The ideal candidate will possess a strong background in regulatory requirements, processes, and controls, with a focus on U.S. securities, commodities, and banking regulations.Key Responsibilities:Apply knowledge of rules and regulations to various trading and...

Job Title: Compliance, Swap DealerAs a Compliance, Swap Dealer, you will advise internal stakeholders on the implementation and development of CFTC, NFA, and SEC swap dealer requirements. This includes developing relevant compliance program elements, such as policies and procedures, training, risk assessments, and issues management. You will also assist in...

Role OverviewSMBC Group is a top-tier global financial group with a 400-year history. As a Regulatory Policy Specialist, you will support regulatory reporting stakeholders by providing advice on technical regulatory issues involving our New York Branch, Bank Holding Company, broker/dealer, and other affiliates.This is a hybrid role, with a current...

Job SummarySumitomo Mitsui Banking Corp. is seeking a highly skilled Regulatory Policy Specialist to join our team. As a key member of our regulatory reporting team, you will be responsible for providing regulatory reporting advice, issuing policy interpretation and guidelines on technical regulatory issues involving our New York Branch, Bank Holding...

We are seeking a highly motivated and detail-oriented individual to join our Regulatory Reporting Team. As a Regulatory Reporting Specialist, you will play a critical role in providing support and analysis of all external and internal regulatory reporting requirements.Key Responsibilities:Preparation of daily net capital estimatesAssist in the preparation of...

Regulatory Reporting SpecialistSMBC Group is a leading global financial institution with a rich history dating back 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 Group has a significant presence in nearly 40 countries, with over 130 offices and...

Key Responsibilities:The Regulatory Reporting Associate plays a critical role in ensuring the organization's compliance with regulatory requirements. This includes publishing, maintaining, and filing all necessary documentation to meet organizational, industry, and governmental standards.Key Responsibilities:Analyzing reporting policies and procedures to...

Job SummaryWe are seeking a highly skilled Compliance and Product Services Specialist to join our team at Verisk Analytics. As a key member of our team, you will play a critical role in the development of new and revised insurance programs, ensuring compliance with regulatory requirements and industry standards.Key Responsibilities* Develop policy language...

Job Title: Tax Compliance SpecialistNeptune Retail Solutions is seeking a Tax Compliance Specialist to join our team. As a Tax Compliance Specialist, you will be responsible for preparing state and local income tax returns for a partnership and a C-Corp, as well as assisting in preparing federal income tax returns.Key Responsibilities:Prepare state and local...

Job Title: Membership Application Program AnalystAs a Membership Application Program Analyst at the Financial Industry Regulatory Authority (FINRA), you will play a critical role in ensuring the integrity of the financial markets. Your primary responsibility will be to analyze and review membership applications, ensuring that they meet the necessary...

Job SummaryWe are seeking a highly skilled Compliance Independent Assessment Officer to join our team at Citigroup Inc. This role is responsible for assessing significant compliance risks and controls implemented by the first and second line of defense.Key ResponsibilitiesDevelop, implement, and execute compliance testing and reporting programs in accordance...

Job SummaryMMS Group is seeking an experienced Compliance Specialist to join our team. As a Compliance Specialist, you will be responsible for performing all management duties associated with certifications for programs such as Section 8 Housing Choice Vouchers, Family Self Sufficiency, Moderate Rehabilitation, HOME, Rural Development, Low Income Housing Tax...