Bank Regulatory Attorney Jobs

Surveillance Product Specialist The Candidate will be responsible for creating, enhancing and implementing surveillance scenarios and conducting surveillance reviews. Improving surveillance tools and applications by coordinating with Information Technology on the ..

SVP Surveillance Product Specialist Duties: Serves as a Surveillance Product Specialist in the Compliance Surveillance function within Independent Compliance Risk Management (ICRM). Will be responsible to track and intemperate rule changes, ..

... and other industry news including regulatory findings. Overseeing the monitoring and ... the monitoring and identification of regulatory developments, including enforcement actions, and ... impact of new and complex..

Regulation W Compliance Officer The candidate duties will include: To lead the enhancement of the CUSO Banking Regulatory Compliance Regulation W framework, including risk assessment, policy and procedures, corporate governance, ..

Compliance Escalation and Incident Reporting Senior Vice President Duties: Designing, developing, delivering and maintaining best-in-class Compliance, programs, policies and practices for ICRM, Specifically, assist leadership in: Escalations and Issue Reporting: Develop ..

Compliance Assurance Director Duties: The candidate serves as a senior compliance risk manager for Independent Compliance Risk Management (ICRM)'s Assurance team responsible for assessing compliance risks and controls implemented by the ..

Compliance Product Officer - TTS Cash NAM ICRM Duties: Serves as a Treasury and Trade Solutions (TTS) compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for assisting with internal ..

State and Local Tax Director The candidate will manage all aspects of the state and local tax function for Royal Bank of Canada and affiliated companies doing business in the US. ..

Swap Dealer Compliance Officer The candidate will manage swap dealer compliance program including assessing and updating policies and procedures, guiding training and education process and on-going regulatory interactions. Providing real time ..

Compliance Assurance Director - NAM ICG The candidate serves as a senior compliance risk manager for Independent Compliance Risk Management (ICRM)’s Assurance team responsible for assessing compliance risks and controls implemented ..

... regulators and coordinating materials for regulatory exams and inquiries. Drafting internal ... and/or operational risk or related regulatory experience with a wealth management, ... broker dealer, retail and/or private..

Senior Counsel, Regulatory Attorney The candidate will report directly ... will be responsible for providing regulatory and business legal advice relating ... and provide legal support on regulatory matters and..

... and regulations and respond to regulatory inquiries and examinations. Interpret, analyze, ... and provide guidance on major regulatory reforms and partner with the ... awareness of existing and proposed..

Vice President, AML Compliance Risk Management (ACRM) Officer – NAM Banking, Capital Markets and Advisory Duties: Execute and implement firm-wide AML risk management policy and strategic processes. Maintain AML compliance program ..

Director Risk And Controls The candidate will lead cross functional teams, potentially across multiple geographic locations. Mitigates risk exposure to company by identifying activity that poses potential for significant reputations and/or ..

Operational Risk Officer – Control Testing The candidate will be responsible for: effectively testing/challenging internal control assessments for the Combined US Operations (CUSO) of UBS. Liaising regularly with the Heads of ..

Operational Risk Officer – Control Testing The candidate will be responsible for: Effectively testing/challenging internal control assessments for the Combined US Operations (CUSO) of company. Liaising regularly with the Heads of ..

Staff Attorney The candidate will support business efforts to build out life insurance products and services, including preparation and negotiation of standard business contracts, negotiation of related contracts with clients and ..