26 to 50 of 422 Regulatory Compliance Jobs

Overview: Supports the engagement between IT, regulators and regulatory relations. Assist with exams, coordinate regulatory communications, and provide consultative services. Consulted as the subject matter expert in regulatory interactions and communications. Prepare materials for regulatory interactions. In addition, provide assessment and oversight of regulatory compliance within IT. This is a hybrid role in Raleigh, NC. Responsibilities: Support Regulatory Exams: Responsible for supporting exams performed by primary regulators, in consultation with Regulatory Relations and stakeholders in IT. Supports preparation of materials, preparing speakers, review of content, capture of meeting notes, monitoring follow-ups. … Regulatory Presentations: Responsible for developing materials for periodic OGS/OGM meetings with regulators in consultation with stakeholders across IT. Evaluating Risk Assessments: Responsible for evaluating risk assessments performed by control management team to evaluate potential risks or concerns prior to the onset of a regulatory exam. Evaluating more »

Overview: Supports the engagement between IT, regulators and regulatory relations. Assist with exams, coordinate regulatory communications, and provide consultative services. Consulted as the subject matter expert in regulatory interactions and communications. Prepare materials for regulatory interactions. In addition, provide assessment and oversight of regulatory compliance within IT. This is a hybrid role in Raleigh, NC. Responsibilities: Support Regulatory Exams: Responsible for supporting exams performed by primary regulators, in consultation with Regulatory Relations and stakeholders in IT. Supports preparation of materials, preparing speakers, review of content, capture of meeting notes, monitoring follow-ups. … Regulatory Presentations: Responsible for developing materials for periodic OGS/OGM meetings with regulators in consultation with stakeholders across IT. Evaluating Risk Assessments: Responsible for evaluating risk assessments performed by control management team to evaluate potential risks or concerns prior to the onset of a regulatory exam. Evaluating more »

Overview: Supports the engagement between IT, regulators and regulatory relations. Assist with exams, coordinate regulatory communications, and provide consultative services. Consulted as the subject matter expert in regulatory interactions and communications. Prepare materials for regulatory interactions. In addition, provide assessment and oversight of regulatory compliance within IT. This is a hybrid role in Raleigh, NC. Responsibilities: Support Regulatory Exams: Responsible for supporting exams performed by primary regulators, in consultation with Regulatory Relations and stakeholders in IT. Supports preparation of materials, preparing speakers, review of content, capture of meeting notes, monitoring follow-ups. … Regulatory Presentations: Responsible for developing materials for periodic OGS/OGM meetings with regulators in consultation with stakeholders across IT. Evaluating Risk Assessments: Responsible for evaluating risk assessments performed by control management team to evaluate potential risks or concerns prior to the onset of a regulatory exam. Evaluating more »

Overview: Supports the engagement between IT, regulators and regulatory relations. Assist with exams, coordinate regulatory communications, and provide consultative services. Consulted as the subject matter expert in regulatory interactions and communications. Prepare materials for regulatory interactions. In addition, provide assessment and oversight of regulatory compliance within IT. This is a hybrid role in Raleigh, NC. Responsibilities: Support Regulatory Exams: Responsible for supporting exams performed by primary regulators, in consultation with Regulatory Relations and stakeholders in IT. Supports preparation of materials, preparing speakers, review of content, capture of meeting notes, monitoring follow-ups. … Regulatory Presentations: Responsible for developing materials for periodic OGS/OGM meetings with regulators in consultation with stakeholders across IT. Evaluating Risk Assessments: Responsible for evaluating risk assessments performed by control management team to evaluate potential risks or concerns prior to the onset of a regulatory exam. Evaluating more »

Overview: Supports the engagement between IT, regulators and regulatory relations. Assist with exams, coordinate regulatory communications, and provide consultative services. Consulted as the subject matter expert in regulatory interactions and communications. Prepare materials for regulatory interactions. In addition, provide assessment and oversight of regulatory compliance within IT. This is a hybrid role in Raleigh, NC. Responsibilities: Support Regulatory Exams: Responsible for supporting exams performed by primary regulators, in consultation with Regulatory Relations and stakeholders in IT. Supports preparation of materials, preparing speakers, review of content, capture of meeting notes, monitoring follow-ups. … Regulatory Presentations: Responsible for developing materials for periodic OGS/OGM meetings with regulators in consultation with stakeholders across IT. Evaluating Risk Assessments: Responsible for evaluating risk assessments performed by control management team to evaluate potential risks or concerns prior to the onset of a regulatory exam. Evaluating more »

Overview: Supports the engagement between IT, regulators and regulatory relations. Assist with exams, coordinate regulatory communications, and provide consultative services. Consulted as the subject matter expert in regulatory interactions and communications. Prepare materials for regulatory interactions. In addition, provide assessment and oversight of regulatory compliance within IT. This is a hybrid role in Raleigh, NC. Responsibilities: Support Regulatory Exams: Responsible for supporting exams performed by primary regulators, in consultation with Regulatory Relations and stakeholders in IT. Supports preparation of materials, preparing speakers, review of content, capture of meeting notes, monitoring follow-ups. … Regulatory Presentations: Responsible for developing materials for periodic OGS/OGM meetings with regulators in consultation with stakeholders across IT. Evaluating Risk Assessments: Responsible for evaluating risk assessments performed by control management team to evaluate potential risks or concerns prior to the onset of a regulatory exam. Evaluating more »

Overview: Supports the engagement between IT, regulators and regulatory relations. Assist with exams, coordinate regulatory communications, and provide consultative services. Consulted as the subject matter expert in regulatory interactions and communications. Prepare materials for regulatory interactions. In addition, provide assessment and oversight of regulatory compliance within IT. This is a hybrid role in Raleigh, NC. Responsibilities: Support Regulatory Exams: Responsible for supporting exams performed by primary regulators, in consultation with Regulatory Relations and stakeholders in IT. Supports preparation of materials, preparing speakers, review of content, capture of meeting notes, monitoring follow-ups. … Regulatory Presentations: Responsible for developing materials for periodic OGS/OGM meetings with regulators in consultation with stakeholders across IT. Evaluating Risk Assessments: Responsible for evaluating risk assessments performed by control management team to evaluate potential risks or concerns prior to the onset of a regulatory exam. Evaluating more »

Overview: Supports the engagement between IT, regulators and regulatory relations. Assist with exams, coordinate regulatory communications, and provide consultative services. Consulted as the subject matter expert in regulatory interactions and communications. Prepare materials for regulatory interactions. In addition, provide assessment and oversight of regulatory compliance within IT. This is a hybrid role in Raleigh, NC. Responsibilities: Support Regulatory Exams: Responsible for supporting exams performed by primary regulators, in consultation with Regulatory Relations and stakeholders in IT. Supports preparation of materials, preparing speakers, review of content, capture of meeting notes, monitoring follow-ups. … Regulatory Presentations: Responsible for developing materials for periodic OGS/OGM meetings with regulators in consultation with stakeholders across IT. Evaluating Risk Assessments: Responsible for evaluating risk assessments performed by control management team to evaluate potential risks or concerns prior to the onset of a regulatory exam. Evaluating more »

Overview: Supports the engagement between IT, regulators and regulatory relations. Assist with exams, coordinate regulatory communications, and provide consultative services. Consulted as the subject matter expert in regulatory interactions and communications. Prepare materials for regulatory interactions. In addition, provide assessment and oversight of regulatory compliance within IT. This is a hybrid role in Raleigh, NC. Responsibilities: Support Regulatory Exams: Responsible for supporting exams performed by primary regulators, in consultation with Regulatory Relations and stakeholders in IT. Supports preparation of materials, preparing speakers, review of content, capture of meeting notes, monitoring follow-ups. … Regulatory Presentations: Responsible for developing materials for periodic OGS/OGM meetings with regulators in consultation with stakeholders across IT. Evaluating Risk Assessments: Responsible for evaluating risk assessments performed by control management team to evaluate potential risks or concerns prior to the onset of a regulatory exam. Evaluating more »

Overview: Supports the engagement between IT, regulators and regulatory relations. Assist with exams, coordinate regulatory communications, and provide consultative services. Consulted as the subject matter expert in regulatory interactions and communications. Prepare materials for regulatory interactions. In addition, provide assessment and oversight of regulatory compliance within IT. This is a hybrid role in Raleigh, NC. Responsibilities: Support Regulatory Exams: Responsible for supporting exams performed by primary regulators, in consultation with Regulatory Relations and stakeholders in IT. Supports preparation of materials, preparing speakers, review of content, capture of meeting notes, monitoring follow-ups. … Regulatory Presentations: Responsible for developing materials for periodic OGS/OGM meetings with regulators in consultation with stakeholders across IT. Evaluating Risk Assessments: Responsible for evaluating risk assessments performed by control management team to evaluate potential risks or concerns prior to the onset of a regulatory exam. Evaluating more »

Overview: Supports the engagement between IT, regulators and regulatory relations. Assist with exams, coordinate regulatory communications, and provide consultative services. Consulted as the subject matter expert in regulatory interactions and communications. Prepare materials for regulatory interactions. In addition, provide assessment and oversight of regulatory compliance within IT. This is a hybrid role in Raleigh, NC. Responsibilities: Support Regulatory Exams: Responsible for supporting exams performed by primary regulators, in consultation with Regulatory Relations and stakeholders in IT. Supports preparation of materials, preparing speakers, review of content, capture of meeting notes, monitoring follow-ups. … Regulatory Presentations: Responsible for developing materials for periodic OGS/OGM meetings with regulators in consultation with stakeholders across IT. Evaluating Risk Assessments: Responsible for evaluating risk assessments performed by control management team to evaluate potential risks or concerns prior to the onset of a regulatory exam. Evaluating more »

Overview: Supports the engagement between IT, regulators and regulatory relations. Assist with exams, coordinate regulatory communications, and provide consultative services. Consulted as the subject matter expert in regulatory interactions and communications. Prepare materials for regulatory interactions. In addition, provide assessment and oversight of regulatory compliance within IT. This is a hybrid role in Raleigh, NC. Responsibilities: Support Regulatory Exams: Responsible for supporting exams performed by primary regulators, in consultation with Regulatory Relations and stakeholders in IT. Supports preparation of materials, preparing speakers, review of content, capture of meeting notes, monitoring follow-ups. … Regulatory Presentations: Responsible for developing materials for periodic OGS/OGM meetings with regulators in consultation with stakeholders across IT. Evaluating Risk Assessments: Responsible for evaluating risk assessments performed by control management team to evaluate potential risks or concerns prior to the onset of a regulatory exam. Evaluating more »

Overview: Supports the engagement between IT, regulators and regulatory relations. Assist with exams, coordinate regulatory communications, and provide consultative services. Consulted as the subject matter expert in regulatory interactions and communications. Prepare materials for regulatory interactions. In addition, provide assessment and oversight of regulatory compliance within IT. This is a hybrid role in Raleigh, NC. Responsibilities: Support Regulatory Exams: Responsible for supporting exams performed by primary regulators, in consultation with Regulatory Relations and stakeholders in IT. Supports preparation of materials, preparing speakers, review of content, capture of meeting notes, monitoring follow-ups. … Regulatory Presentations: Responsible for developing materials for periodic OGS/OGM meetings with regulators in consultation with stakeholders across IT. Evaluating Risk Assessments: Responsible for evaluating risk assessments performed by control management team to evaluate potential risks or concerns prior to the onset of a regulatory exam. Evaluating more »

Overview: Supports the engagement between IT, regulators and regulatory relations. Assist with exams, coordinate regulatory communications, and provide consultative services. Consulted as the subject matter expert in regulatory interactions and communications. Prepare materials for regulatory interactions. In addition, provide assessment and oversight of regulatory compliance within IT. This is a hybrid role in Raleigh, NC. Responsibilities: Support Regulatory Exams: Responsible for supporting exams performed by primary regulators, in consultation with Regulatory Relations and stakeholders in IT. Supports preparation of materials, preparing speakers, review of content, capture of meeting notes, monitoring follow-ups. … Regulatory Presentations: Responsible for developing materials for periodic OGS/OGM meetings with regulators in consultation with stakeholders across IT. Evaluating Risk Assessments: Responsible for evaluating risk assessments performed by control management team to evaluate potential risks or concerns prior to the onset of a regulatory exam. Evaluating more »

Compliance Officer-6 month FTC Are you passionate about ensuring regulatory compliance within the banking sector? Do you thrive in a dynamic environment where your expertise is valued and your contributions make a real difference? If so, Oxbow Resourcing are on the lookout for a motivated Compliance … our client who are a challenger bank on a 6-month Fixed-Term Contract (FTC) and play a crucial role in ensuring adherence to regulatory standards. Established in 2007, this is not your average bank – they are a challenger bank operating under Shariah principles. With offices in London, Milton … and Wilmslow, they offer a range of personal and corporate savings products, along with financing for UK residential properties. If you're enthusiastic about compliance, thrive in a collaborative environment, and want to be part of a forward-thinking bank, then keep reading! The role As Compliance Officer more »

our company and the industry as a whole. Join us and leave your mark on the industry. We are looking for an experienced AVP, Compliance Advisory candidate for our FAB office in London, United Kingdom . Let's work together to achieve great things and unlock new possibilities for … that the FAB business in the UK is carried out in accordance with local rules and regulations and to provide updates and information on compliance matters to the Head of Compliance (UK). Manage and monitor compliance requirements in the UK and assist the business in achieving … compliance with UAE and local regulations as well as Group and local policies and procedures. Key Accountabilities Provide up-to-date technical Compliance advice, guidance, training and support in relation to all regulatory matters applicable to the UK branch, with significant focus on the Global Markets, MiFID more »

home finance and annuities propositions, and providing collective fund solutions to third party customers. Job Summary: A direct report of the Head of Risk & Compliance - Operations, People & Customer (HRC - OPC) responsible for the oversight of compliance and non-financial risk across Canada Life UK (CLUK). This role … provides key support to the HRC - OPC in ensuring that there is appropriate risk and compliance management across the business aligning strategy, risk appetite, and guaranteeing good customer outcomes. The focus of the role is likely to cover oversight of third party, operational resilience, people and change risk. The … Board, executive, Lifeco group and regulators). This role is primarily responsible for providing key support to the HRC - OPC in the oversight of compliance and non-financial risks in all our people and operations functions, including change programmes, and supports the HRC - OPC in their capacity as the more »

Head of Risk and Compliance About us Our rapidly growing fintech customer are transforming the private capital markets. With deep regulatory knowledge and cutting-edge technology, they have enabled frictionless asset creation and transferability across the digitisation of all assets. Their technology is already being used by some … of the largest institutions in the world, such as the Johannesburg Stock Exchange and Nomura/Instinet. The role As a regulated business, compliance is not only mandated by regulatory bodies, it is also key to business success. The business are currently regulated by the FCA in the … UK, however they are seeking additional regulatory authorisation in other markets including the EU and North America. Due to an exciting and sustained period of growth and future expansion, we’re looking for a talented Head of Risk and Compliance to join the team and build on great more »

team will be accountable for. providing real-time advice and oversight for payments activity on an end-to-end basis from horizon scanning for regulatory developments, supporting compliance with regulatory change through to oversight of ongoing compliance and operational risk management. providing independent assessment of risk … within the Payments area and highlighting areas for improvement in risk management and controls aligned to the Nationwide Enterprise Risk Management Framework Scanning the regulatory horizon to identify emerging risks, regulatory change and gain wider industry awareness to provide advice and challenge. Working with colleagues from across the … through our own Risk Academy. About you As a minimum you’ll have: You will need strong technical knowledge and understanding of the payments regulatory and legislative framework, the governing regulators including their remits and their strategic intentions as well as external market developments. You will also have a more »

an international banking group, offering a wide range of products and services including savings, loans, mortgages and insurance. THE RESPONSIBILITIES: Support the Head of Compliance in the identification, review, assessment and reporting of key regulatory changes affecting the bank, including the preparation of regulatory impact assessments. This … existing regulation and reporting through to internal Committees for the purposes of oversight. Support the business through the provision of timely and outcomes-focussed regulatory advice and guidance, as part of project and change programmes and resolving ad hoc queries which arise from time to time. Assist on compliance monitoring reviews as assigned by the Head of Compliance, covering the Bank’s regulated activities. This includes preparing terms of reference, testing the design and operational effectiveness of regulatory controls, report writing, agreeing findings with key stakeholders and tracking all issues and remediation through to closure. Assist more »

to hire a Trade Floor Supervision Director (team of 5) for the capital markets group, the First Line of Defense (“1LOD”), is accountable for compliance with laws, and regulatory requirements applicable to their business areas which includes direct accountability for Global Markets and indirect accountability for Regulatory … attributes and assist in maintaining comprehensive professional reporting templates. Assess data and make informed decisions and sound subjective judgments to monitor trading activity for compliance with the relevant rules and regulations. Present to stakeholders within the organization including Line of Business Management and work with technology partners to ensure … operations within their assigned BU(s), which includes access to all documents if the incumbent believes are relevant for the effective execution of their compliance responsibilities; The authority to direct the BU(s) under their responsibility to perform monitoring when it is considered necessary and/or at the more »

to make a positive, sustainable contribution to both the UK economy and society. On behalf of this organisation, AMS is looking for a Senior Compliance Officer - Regulatory for a 12 -month contract, based hybrid in London. Purpose of the Role: The Compliance Reviews Team ('CRT') main mandate … is to carry out risk-based compliance reviews with a focus on UK specific Compliance risks. The Compliance Officer in the CRT is mainly responsible for carrying out assigned Compliance reviews and, where necessary, allocated independent testing and controls across CIB business lines throughout Europe. As … a Senior Compliance Officer - Regulatory , you will be responsible for: Leading and driving forward the allocated programme of risk-based thematic, transversal, targeted and desk focused Compliance reviews/independent Testing. Performing testing and reviews/controls independently or with limited guidance. Leading the review process on more »

Manager will work closely with the Front Office Portfolio Management team acting as part of the First Line of Defence, ensuring appropriate Investment and Regulatory compliance across Investment Products and Portfolios, andconstructing and maintaining relationships with important stakeholders to achieve this. The Product Risk Manager will require Wealth … The Product Risk Manager will commit and prepare analysis on areas of financial regulations when required by the business and will apply their own compliance regulatory knowledge in the improvement of existing offering as well as representing the UK in regulatory change projects. The Product Risk Manager … keeping in line with the Private Banks management framework. The Product Risk Manager is to develop realistic recommendations to address any issues, working alongside compliance and other business-related areas ensuring all relevant actions are put in place in a timely manner. The Product Risk Manager is expected to more »

Manager will work closely with the Front Office Portfolio Management team acting as part of the First Line of Defence, ensuring appropriate Investment and Regulatory compliance across Investment Products and Portfolios, and constructing and maintaining relationships with important stakeholders to achieve this. The Product Risk Manager will require … The Product Risk Manager will commit and prepare analysis on areas of financial regulations when required by the business and will apply their own compliance regulatory knowledge in the improvement of existing offering as well as representing the UK in regulatory change projects. The Product Risk Manager … in line with the Private Bank’s management framework. The Product Risk Manager is to develop realistic recommendations to address any issues, working alongside compliance and other business-related areas ensuring all relevant actions are put in place in a timely manner. The Product Risk Manager is expected to more »

BASIC QUALIFICATIONS Experience in compliance program management, legal, governance, audit, risk/loss prevention, or equivalent. 5+ years of experience in banking, payments, or e-commerce companies including retail payments, consumer credit, lending, and insurance within a second or third line of defense function. Prior knowledge of regulatory compliance, conduct, and financial crime regulations. Sound knowledge of relevant Assurance or Audit practices. Experience advising, supervising, interpreting, and communicating complex regulations to a diverse audience. Excellent team player with the ability to work closely with others to deliver data-driven results, identify and resolve issues. Strong and … businesses. The successful candidate should help the rollout and execution of our second line of defense risk testing and have extensive knowledge of conduct, regulatory compliance, and financial crime requirements. The successful candidate is an ambitious self-starter, with a proven capability to work independently and as part more »