The team ensures that there is internal Regulatory data integrity and monitors the compliance with internal and external regulatory limits and thresholds. About Banking Regulatory Reporting. The US Bank Regulatory Reporting group is primarily responsible for financial and other periodic reporting su...
This Senior Analyst position within the Surveillance and Market Intelligence section of Market Regulation is responsible for conducting routine surveillance reviews to identify unusual market activity for evidence of violations of applicable federal securities, FINRA and/or RSA client rules and regu...
Maintain regulatory information in accordance with processes and procedures to support regulatory compliance. Qualifications: Actual Title: "Senior Specialist, Regulatory Affairs CMC "Education: Bachelor of Science degree (minimum) in science, engineering, or other relevant field (advanced degree pr...
This Senior Analyst position within the Surveillance and Market Intelligence section of Market Regulation is responsible for conducting routine surveillance reviews to identify unusual market activity for evidence of violations of applicable federal securities, FINRA and/or RSA client rules and regu...
Reporting to the Specialty Group Compliance Manager, the Regulatory Compliance Analyst will be responsible for accurately performing core regulatory compliance processes, including but not limited to data calls and regulatory reporting, documentation of complaints, legal mail, regulator inquiries, e...
This Senior Analyst position within the Surveillance and Market Intelligence section of Market Regulation is responsible for conducting routine surveillance reviews to identify unusual market activity for evidence of violations of applicable federal securities, FINRA and/or RSA client rules and regu...
The team ensures that there is internal Regulatory data integrity and monitors the compliance with internal and external regulatory limits and thresholds. About Banking Regulatory Reporting. The US Bank Regulatory Reporting group is primarily responsible for financial and other periodic reporting su...
The Senior Regulatory Operations Analyst is an advanced-level professional position responsible for a wide range of tasks in support of various regulatory compliance functions in Market Regulation and Transparency Services (MRTS), including those related to managing conflicts of interest-related com...
Successfully completes regulatory and job training requirements. ...
The Principal Analyst has demonstrated a highly proficient level of competence in identifying risks, developing regulatory strategies to address those risks, and working with internal and external constituents to achieve the goals of the department. The Principal Analyst possesses a highly proficien...
The Principal Analyst in the Regulatory Services Management team (“RSM”) in FINRA’s Department of Market Regulation and Transparency Services (“MRTS”) is responsible for performing a wide variety of tasks in support of establishing and maintaining controls for RSM standard and non-standard reports t...
The Principal Analyst in the Regulatory Services Management team ("RSM") in FINRA's Department of Market Regulation and Transparency Services ("MRTS") is responsible for performing a wide variety of tasks in support of establishing and maintaining controls for RSM standard and no...
Reporting to the Specialty Group Compliance Manager, the Regulatory Compliance Analyst will be responsible for accurately performing core regulatory compliance processes, including but not limited to data calls and regulatory reporting, documentation of complaints, legal mail, regulator inquiries, e...
Ensure documentation complies with internal policies and regulatory expectations, facilitating audits and regulatory inquiries. Stay abreast of regulatory developments, industry trends, and emerging risks relevant to consumer banking laws and regulations, proactively assess the impact of regulatory ...
US Regulatory Services is responsible for ensuring timely, accurate, and complete reporting to various exchanges, self-regulatory organizations and the SEC. Functions within the team can include remediating issues identified; control and risk management and reporting process improvement; providing s...
Taking on key role within Operations Regulatory Reporting team to ensure execution & compliance of Firm Regulatory Reporting obligations. Day-to-day support of new/ongoing Regulatory Reporting processes, liaising with Legal/Compliance, Business and Support and Control groups to ensure compliance wit...
Reporting to the Specialty Group Compliance Manager, the Regulatory Compliance Analyst will be responsible for accurately performing core regulatory compliance processes, including but not limited to data calls and regulatory reporting, documentation of complaints, legal mail, regulator inquiries, e...
Manage project schedules and scope, assist in creating the project budget, oversee deliverables for quality and assist in staffing projects. Lead small project management teams assisting in project managing components of a larger technological program. Identify and mitigate risk through status repor...
Technical Business Analyst with Derivatives Experience. This role will be involved as a business analyst in the following tasks. Source Trade data from various trading platform, transform to the business domain model and load in the enterprise database. Business requirement writing and refinement. ...
Conduct regular assessments to evaluate the effectiveness of IT controls and identify areas of non-compliance with SOX IT general controls, PCI-DSS, and GDPR. Collaborate with cross-functional teams to develop and implement processes and controls to ensure compliance with regulatory requirements. Mo...
The Associate Director, Regulatory Affairs - Advertising & Promotion will provide strategic regulatory advice on advertising and promotion for assigned products in accordance with business goals and objectives, FDA regulations and guidances, and company policies. Develop and maintain positive ra...
This position serves as the GRA labeling expert to the Global Regulatory Team (GRT) and independently provides strategic and operational leadership on product labeling in collaboration with Global Regulatory Leads (GRLs). More Years of direct regulatory affairs experience, including US labeling expe...
Bank located in NJ is looking to hire a Fair Lending Compliance Analyst. Develop, implement, and oversee the Bank’s Compliance Fair Lending Monitoring Program to ensure compliance with all fair lending laws, regulations, and guidance. Conducts data analysis of the Bank’s consumer compliance data, to...
Team Mentoring, Motivating, Training and Oversight for a team of Project Managers, Clinical Research Associates (CRAs), Clinical Trial Associates (CTAs). Manage and track study budget, project milestones, and timelines throughout the life of the study and perform contract reconciliation at study end...
The Senior Associate, Regulatory Affairs is responsible for supporting applications under pre and post approval conditions. Under the direction of Regulatory Affairs management, participate in drug development from early stage development through final formulation, ensuring compliance with principle...