Regulatory Exam Lead — Regulator Relations & Compliance
Socket.dev
Socket.dev is seeking a Regulatory Exam Manager in New York to oversee examinations from start to finish, acting as the primary contact for regulators and coordinating colleagues across the firm to ensure timely, accurate responses and constructive regulatory relationships. You will draft submissions, prepare teams for examiner meetings, review materials for improvements, and maintain examination records while enhancing processes used to manage inquiries. #J-18808-Ljbffr Socket.dev
- ...be a Level 2 legal position in the Regulatory Relations function of Compliance. Essential Function / major duties... ...job At Level 2, the position is a lead role regarding all facets of Regulatory... ...activities; (ii) the Fed Board Regulation HH team re: Regulation HH ANPC requirements...Regulatory
$155k - $190k
...Transaction Reporting Team Lead Join to apply for... ...of the regulatory reporting rules &... ...ensuring HSBC is compliance with CFTC, CSA, and... ...based Swap Dealer regulations. Provide leadership... ...reporting regulatory exams and inquiries Supervision... ...swaps and swaps-related regulations, and...RegulatoryFull timeLocal areaFlexible hours$175k - $225k
...LEAD FIDUCIARY COMPLIANCE SPECIALIST WHAT IS THE OPPORTUNITY... ...and state fiduciary regulations including Delaware.... ...ensure alignment with regulatory requirements while... ...regulations Support exam management... ...Fiduciary, or investment-related compliance environments...RegulatoryWork at officeRemote work- ...monitoring the firm’s compliance with laws and regulations, and advising... ...regulators on matters of regulatory compliance, the Regulatory Relations Team works closely with... ...during inquiries and exams, among other responsibilitiesTake... ...in 1869, we are a leading global investment...Regulatory
$75k - $95k
...the risk-based branch exam program in FINRA-registered... ...exam system and related work papers* Ensure prescribed... ..., exam managers and compliance leadership* Provide... ...exams* Rules and regulations of the SEC, FINRA, and state securities regulatory agencies* Fundamental...RegulatoryRemote jobWork experience placementShift work$215k - $290k
...Security & Risk Oversight Lead Location New... ...Business Area Legal, Compliance, and Risk Ref #... ...advisor for cybersecurity -related risks and lead... ...control frameworks, and regulatory expectations. * Partner... ...interacting with Boards, regulators, internal audit, and/...RegulatoryTemporary workFor contractorsWork experience placementWork at office- ...RolePolymarket operates a CFTC-regulated designated contract market (... ...As we scale, the legal and regulatory infrastructure supporting... ...team and work closely with Compliance, Surveillance, and product.... ...agreements, disclosures, and related documentation to ensure they...RegulatoryContract workPrivate practice
$89k - $105k
...are the rewards. The compliance team supporting Robinhood... ...to ensuring robust regulatory compliance across all... ...supporting business goals.As Lead Compliance Analyst,... ...and consumer lending regulations.Review marketing... ...Accounting, Economics, or a related field (or equivalent...RegulatoryWork at officeFlexible hoursShift work3 days per week$82.92k - $150k
...A leading cryptocurrency exchange is seeking a Senior Compliance Officer to develop and implement compliance programs related to BSA/AML and KYC regulations. Candidates should have a Bachelor’s degree and at... ...dynamic environment focused on regulatory compliance and risk...RegulatoryRemote work- ...Business Unit The Product Compliance team within the... ...compliance with applicable regulatory requirements. The team... .... Role Overview The Lead Product Compliance Consultant... ...compliance activities related to Life Insurance... ...legislation, regulations and policy language. Experience...RegulatoryWork at officeLocal area3 days per week
$150k - $185k
...and experience, job-related knowledge, geographic... ...:**Our TD Securities Compliance department is looking... ...hire a VP to join the Regulatory Exam Management team in our... ...for meetings with regulators.* Support TD's ongoing... ...advice and industry-leading insight, extending access...RegulatoryWork experience placementWork at office$97.2k - $121.51k
...new roleAs our new Senior Lead Consultant with air quality compliance & permitting consulting... ...and other environmental regulatory compliance, while... ...estimation, air compliance related reports, air dispersion... ...and federal environmental regulations, with focus on air compliance...RegulatoryFull timeLocal area- Mastercard seeks a Regulatory Compliance Manager to lead licensing, regulatory reporting and examination readiness for Payments... ...managing NMLS licenses, BitLicense and related registrations, preparing materials for regulators and senior leadership, and maintaining regulatory...Regulatory
- ...America, and we are looking for a Lead Compliance Manager to provide senior... ...supporting broader Assets regulatory and operational readiness... ...governance for Wise’s FINRA-regulated broker-dealer. and broader North... ...investment or Assets-related regulatory requirements is a...Regulatory
- ...experienced environmental specialist to provide technical, regulatory, and programmatic direction on environmental issues for Power. You will ensure compliance with air, water, waste, and related regulations while managing licensing, permitting, and filings. Responsibilities...Regulatory
- GBI is seeking a dedicated KYC/AML Compliance Analyst to own the onboarding compliance... ...review to risk scoring, configuration, and regulatory reporting. You will manage third-party... ...compliance with BSA/AML, OFAC, and related regulations in a high-growth precious metals #J-1...Regulatory
- ...serve as the primary liaison among Sales, Credit, and Regulatory teams in New York. You will manage onboarding requests... ...and coordinate across global stakeholders while ensuring compliance with policy. You will lead onboarding progress reviews, identify risks, and coach...Regulatory
$150k - $185k
...examens réglementaires. Le candidat devra gérer les examens réglementaires, fournir des mises à jour à la direction et développer des relations avec les régulateurs. Avec un minimum de 7 ans d'expérience en conformité et d'excellentes compétences analytiques, le candidat id...Regulatory$128.9k - $226.05k
Role PurposeThe Lead Product Manager is responsible... ...operating in highly regulated environments. This role... ...supporting securities-related products and content,... ...knowledge of securities law, regulatory disclosure... ...legal practitioners, compliance professionals, and corporate...RegulatoryFull timeWork at office- ...role:Wells Fargo is seeking a Lead Compliance Officer to play a critical... ...strategy, navigate complex regulatory requirements, and provide... ...and monitoring activities related to regulatory reporting governance... ...to applicable laws, regulations, and corporate policies.Monitor...RegulatoryFull timeWork experience placement
$150k - $250k
...seeking a hands‑on US Compliance Officer to drive and support... ...build‑out of our US regulatory presence. This role is... ...Strategy & Licensing Lead and support US... ...point of contact with US regulators (CFTC, NFA, NYDFS and... ...operations across US-related activities Build and...Regulatory$109k - $149.88k
...International? Join our Mission to Lead the Future of Snacking.... ...federal, state, and local regulatory compliance standards. This role will... ...adherence to appropriate regulations and Company standards for quality... ..., Chemistry, or other related Sciences Minimum 3 + years...RegulatoryTemporary workLocal areaRelocation package- The FCC Compliance Analytics Lead will support the implementation, governance,... ...crime risk management, and regulatory reporting. The role serves... ...Compliance Analytics, or related functions within banking or... ...Experience within highly regulated banking, financial services...Regulatory
- ...English. Overview We are seeking a Corporate Legal Compliance Team Lead to oversee regulatory compliance related to corporate operations, contract governance, and... ...and applying multistate U.S. laws and regulations regarding lending, commercial finance, licensing,...RegulatoryRemote jobContract workTemporary workWork at officeLocal areaWork from homeMonday to Friday
- ...outstanding Security & Compliance candidates for our... ...organization does and is lead by our Chief Digitial... ...Ensure alignment with regulatory and organizational requirements... ..., technologies, AI-related risks, and evolving... ...in healthcare or regulated environments (HIPAA strongly...RegulatoryFull timeWork at officeRemote workMonday to Friday
- ...Position Title: Operational Compliance Lead - RCM & Clinical... ...standards and payer‑specific regulatory requirements as guidelines... ...Management, Public Health, or related field. Clinical background... ...Adjustment, Medicare/Medicaid regulations, and HIPAA. Demonstrated ability...RegulatoryFull time
$80k - $120k
GBI is a leading precious metals trading platform that... ...palladium. We take compliance seriously — our KYC and... ...with our customers and regulators alike. We are looking... ...existing customer profiles Regulatory Compliance & Reporting... ...teams on compliance-related feature development...RegulatoryWork at office2 days per week3 days per week- ...greater New York, NY area with a Bank Compliance Officer role. The position emphasizes quality... ..., analyzing and reporting on bank regulations across all business lines, and ensuring... ...and operations meet state and federal regulatory requirements. This is not a remote position...Regulatory
$176.72k - $265.08k
...plans (RRP). The M&A Sr. Lead Analyst has day-to-day... ...in the preparation of related presentation and... ...be presented to U.S. regulators, including the Federal... ...and the FDIC. Monitors regulatory changes in the U.S. and... ...and assets, by driving compliance with applicable laws,...RegulatoryFull time$213k - $376.2k
Responsibilities Our Global Legal Compliance team provides key... ...‑Corruption ('ABAC') Lead Compliance Counsel to... ...units on all ABAC‑related issues and risks,... ...changes in relevant laws, regulations, and act as a point of... ...enforcement defense matters or regulatory inquiries in the ABAC...RegulatoryTemporary work
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