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Regulatory reporting tools such as Axiom for financial reporting in banking. Data governance tools and their application in a regulatory banking context. Our Risk Data Management team helps our clients with leveraging data as a strategic asset for their risk, regulatory and compliance programs.
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Our Advisory business helps organizations effectively navigate business risks and opportunities-from strategic, and financial risks to operational, and regulatory risks-to gain competitive advantage.
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Provides strategic advice on complex reporting and technological issues raised by the MRTS business units, Regulatory Services Management ("RSM") team, Regulatory Operations teams, and other FINRA customers, as applicable.
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Reporting to the Chief Legal Officer, the DGC is responsible for managing a diverse array of consumer lending regulatory matters, general legal matters involving privacy, corporate governance, finance, and legal operations issues, as well as, contracts, and assisting in developing and managing a team of highly talented legal professionals.
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As a member of the Risk & Regulatory Advisory team, you will advise financial institutions on a broad range of credit risk management topics including organization and governance; credit process optimization; risk rating model design, build and implementation; credit regulatory assessments; and Current Expected Credit Losses (CECL) process and tools.
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Provide support for tax, FERC and other regulatory reporting. Effective interaction with operations/engineering, financial reporting, regulatory reporting, internal auditors and external auditors.
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Reporting to the Director of the Corporate enterprise team, the Internal Audit Manager will have responsibility for the independent and objective assurance activity designed to improve the organization’s operations and compliance with key regulations by evaluating and improving the efficiency of risk management, control, and governance processes.
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Ensures collaboration and coordination with the RSM team and Regulatory Operations staff regarding standard and ad hoc reporting. This position reports directly to the Associate Director, MRTS Metrics and Reporting, within the Office of the Chief of Staff.
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FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. The Principal Analyst of the Metrics and Reporting ("Metrics") team 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 related to Market Regulation's production of internal and external reports for internal standard and non-standard reports to be delivered to the business units as applicable.
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Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment.
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FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts.
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Experience with business intelligence tools and the associated programming language (e.g., DAX for Power BI or VizQL for Tableau) is required. Experience with business intelligence tools and the associated programming language (e.g., DAX for Power BI or VizQL for Tableau) is required.
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Experience in the assessment and implementation of business processes, process improvement and strategic initiatives is required. FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRfunded retirement contribution, tuition reimbursement and many other benefits.
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Reporting to the Sr. Associate General Counsel responsible for digital health and medical device matters, this Sr. Legal Services Specialist - Paralegal/Regulatory Operations will be part of a collaborative Legal Team supporting UnitedHealth Group’s technology operations and regulated businesses and businesses with regulated products, such as software medical devices.
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You Have: 3+ years direct experience with federal regulatory examinations (FDIC, FRB, OCC, or CFPB) and bank partnership lending models. You will work with partners in legal, operations, compliance, finance, data analytics and engineering, product and other teams, to ensure that Block is compliant with applicable requirements and obligations while, to the extent possible, streamlining regulatory impact and facilitating innovation.
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regulatory reporting jobs Title: controller Company: Randstad in Sherwood, Oregon
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