2 Regulatory Exams Jobs

The role requires you to focus on insurance and annuity product compliance within RVS Compliance. You will collaborate with internal teams and business partners to address various subjects related to multiple lines of business. Your responsibilities will include developing and implementing compliance policies and procedures, assisting with regulatory exams and inquiries, investigating complex issues, and researching applicable laws and regulations. You will also analyze the impact of these regulations on business practices and work with the Legal department as necessary. It is essential to stay updated on industry practices, escalate issues, and provide compliance support to assigned business lines. You should have a Bachelor's degree from a reputable institute and possess 5-8 years of overall experience, with 4-6 years specifically in the Insurance and Annuity domain. A solid understanding of relevant applications and business units, along with strong quantitative and problem-solving skills, is required. Proficiency in MS Excel, PowerPoint, and Word is essential. Being a highly motivated self-starter with excellent communication skills, an ability to work in a team environment, and a willingness to learn about regulatory environments such as NASD and SEC is preferred. Experience in the financial services sector is also desirable. Ameriprise India LLP, a U.S.-based financial planning company with a global presence, has been providing client-focused financial solutions for 125 years. The company specializes in Asset Management and Advice, Retirement Planning, and Insurance Protection. Join our inclusive and collaborative culture that values your contributions and offers opportunities for professional growth. If you are driven, talented, and seeking a rewarding career with an ethical company, consider joining Ameriprise India LLP. This is a full-time position with working hours from 2:00 PM to 10:30 PM. The role is part of the Legal Affairs job family group and falls under the AWMP&S President's Office within the India Business Unit.,

Job Description: At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. Responsible Growth is how we run our company and how we deliver for our clients, teammates, communities and shareholders every day. One of the keys to driving Responsible Growth is being a great place to work for our teammates around the world. We're devoted to being a diverse and inclusive workplace for everyone. We hire individuals with a broad range of backgrounds and experiences and invest heavily in our teammates and their families by offering competitive benefits to support their physical, emotional, and financial well-being. Bank of America believes both in the importance of working together and offering flexibility to our employees. We use a multi-faceted approach for flexibility, depending on the various roles in our organization. Working at Bank of America will give you a great career with opportunities to learn, grow and make an impact, along with the power to make a difference. Join us! Core Technology Infrastructure: Believes diversity makes us stronger so we can reflect, connect and meet the diverse needs of our clients and employees around the world. Is committed to building a workplace where every employee is welcomed and given the support and resources to perform their jobs successfully. Wants to be a great place for people to work and strives to create an environment where all employees have the opportunity to achieve their goals. Provides continuous training and development opportunities to help employees achieve their career goals, whatever their background or experience. Is committed to advancing our tools, technology, and ways of working to better serve our clients and their evolving business needs. Believes in responsible growth and is dedicated to supporting our communities by connecting them to the lending, investing and giving them what they need to remain vibrant and vital. Job Description: The APAC Business Controls Team drives strong risk culture in Technology by enabling Risk Management, Portfolio Support, Issue Management, Exam Management, Compliance Oversight, and Application Governance. Join the team in managing all risk deliverables with a primary focus on exams. Responsibilities: Manage in-flight internal/external audits, Regulatory exams, and Compliance targeted assessments Coordinate audit and regulatory requests and initial/potential findings Notify impacted parties of audit or exam commencement Maintain an inventory of current, forecasted and completed audits, exams and RFIs Manage business partner relationships, engaging with Audit, Compliance, and Technology teams in region and globally Analyze common/thematic exam RFIs and responses to proactively prepare for future exams Skills: 5+ years of experience in technology, technology internal controls, audit, risk or compliance, regulatory driven activities in large and complex organizations Strong understanding of the components and application of technology control frameworks Experience managing audits, regulatory exams or engagements, and Compliance targeted assessments through the coordination of requests for information (RFI) Strong relationship management skills to navigate the complexities of aligning stakeholders, building consensus, and resolving conflicts in a large, distributed organization proven ability to influence peers/stakeholders and senior leaders across various lines of businesses Good project management skills to meet timelines set for audit / regulatory inspections Highly proactive - Critical thinking skills, ability to connect the dots, decisive in instructions and approach, and a love of problem-solving Meticulous, with a sharp eye to catch key details in RFIs and interpret required submission(s) Proven ability to analyze common/thematic exam RFIs to proactively prepare for future exams Demonstrates ability to manage multiple and often competing priorities in a global environment Ability to drive strategic initiatives with a track record of successful change and making difficult decisions Strong communication skills, communicate complex ideas in a clear and concise manner. Ability to decompose complex issues and drive timely decisions Good team player, knowing when to engage others for additional input vs when to act independently. Participation in cross-functional teams and ability to work effectively in both a matrixed and a geographically dispersed team Desired Skills: Banking and Markets technology, Infrastructure technology, and/or Technology control consulting background strongly preferred Familiarity with common APAC banking technology regulations strongly preferred CISA, CGEIT, CISM, CRISC, CISP, or other related certification preferred College degree (BS or equivalent) in applicable field of study preferred Proficient in Microsoft excel, Python, data manipulation and automation