- Morgan Stanley (New York, NY)
- …Control Groups, to act as the primary second line relationship manager with first line risk teams for operational risk matters, including liaising ... coverage team. The role will reside within 2nd line Non-Financial Risk 's Operational Risk ...large investment banking firm environment. Internal experience in business, risk , and/or control functions (eg Operations, Finance)… more
- Morgan Stanley (New York, NY)
- … control functions and support areas (eg, Legal, Technology, Operations, Finance), 2nd line risk functions (eg, Compliance, Financial Crimes Risk , Credit ... position is a Senior Associate or Vice President level position on the Non-Market Risk team within the Institutional Equity Division (IED) Business Control Unit.… more
- Early Warning Services, LLC (New York, NY)
- …Control - Integrated Framework, or similar Legal/paralegal or Compliance experience Certification in risk management First line of defense risk ... timely execution of risk program requirements, including risk and control self-assessments, reporting as required...risks and issues with business unit management and second line of defense risk partners. This position… more
- American Express (New York, NY)
- … risk oversight program to provide credible challenge and oversight to the first line operational resilience risk taking activities. Reporting to the ... management within the banking/financial services industry including policy & procedure development, risk appetite, risk control self-assessment and testing,… more
- Morgan Stanley (Purchase, NY)
- … client types. The IM Financial Crimes Risk Team is considered the first line of defense and supports the onboarding, enhanced due diligence, and negative ... Risk Team is embedded within the Firm's business line . It is responsible for identifying, assessing, and escalating...source of wealth Reviewing and responding to monthly quality control findings related to the source of wealth review… more
- ION Group (Jersey City, NJ)
- …of the production service to ensure it is delivered to the customer in line with the contract, service definition and where applicable SLAs. Ensure production issues ... are resolved in line with clients' priorities, assisting ION Markets teams through...disciplines. Extensive business knowledge in fixed income trading with first -hand experience at either financial institutes or technology companies… more
- Mizuho Corporate Bank (New York, NY)
- …closely with all business lines and corporate functions to ensure an effective control environment. First Line Risk & Control Officer The First ... changes to determine impact, identify and assess operational risk issues. + First Line Control Officers may also be asked to support non-financial … more
- Tradeweb (New York, NY)
- …is seeking a motivated and execution-focused Vice President to join the First Line Risk & Control function. Operating under the direction and guidance ... in collaboration with control owners. + Oversee first line control design and...experience in operational risk , business controls, or first line risk management, ideally… more
- SMBC (New York, NY)
- …with applicable laws, rules, and regulations; + Leads and facilitates the execution of the first - line Risk & Control Self-Assessment (RCSA) for HR and ... Human Resources & Legal Control Officer is a change agent and risk management expert within the first line of defense. The role provides the HR and Legal… more
- Santander US (New York, NY)
- … risk assessments; Developing relationships with key stakeholders within the Bank (eg, Legal, Risk , First Line Control teams) and build credibility ... Advisory Compliance Officer - Fixed Income Business Line Compliance Country: United States of America **Your Journey Starts Here:** Santander is a global leader and… more
- Tradeweb (New York, NY)
- …capabilities. + Provide assurance and validation on first - line risk assessments, including methodology alignment, control coverage adequacy, and issue ... fiscal quarters, topping $2.5 trillion in ADV for the first quarter of 2025. Since our IPO in 2019,...leading key components of the firm's ERM program, including control testing oversight, regulatory risk assessments, … more
- TD Bank (New York, NY)
- …TDS Chief Data Officer (CDO), Data and Delivery Initiatives (DDI) team, Compliance Technology, First - Line Risk and Control , and Front Office Technology ... Location** : New York, New York, United States of America **Hours:** 40 ** Line of Business:** Compliance **Pay Detail:** $100,000 - $135.000 USD TD is committed… more
- TD Bank (New York, NY)
- …TDS Chief Data Officer (CDO), Data and Delivery Initiatives (DDI) team, Compliance Technology, First - Line Risk and Control , and Front Office Technology ... Location** : New York, New York, United States of America **Hours:** 40 ** Line of Business:** Compliance **Pay Detail:** $150,000 - $250,000 USD TD is committed… more
- Citizens (New York, NY)
- Description As the First Line Risk Senior Manager for the Embedded Banking business, you will represent the First Line of Defense and identify and ... banking relationships and payment structures to establish mitigating controls, risk thresholds, and continuously monitor control effectiveness....federal regulatory requirements. You will also work with the First Line Risk Manager to… more
- Mizuho Corporate Bank (New York, NY)
- …ensure the firm maintains a robust control environment, MUSO has developed a first line , risk based Internal Controls Testing (ICT) Program. As Business ... Testing (ICT) AVP: Business Risk and Control (BRC) is a 1st line of...effectiveness. Internal controls serve as a component of the first line of defense in mitigating risks,… more
- MUFG (New York, NY)
- …Losses, etc) + Risk Assessments + Assist with the execution of front- line risk assessment activities (ad hoc Risk /Controls review, all components ... group, it's part of our culture to put people first , listen to new and diverse ideas and collaborate...member of our recruitment team will provide more details. Risk and control officer will be responsible… more
- TD Bank (New York, NY)
- …knowledge to execute a localized challenge strategy while developing strong relationships with risk partners and first line governance teams** **Create ... can provide you more specific details for this role. ** Line of Business:** Risk Management **Job Description:**...Business:** Risk Management **Job Description:** **The** **Senior Risk Analyst Governance and Control ** **manages the… more
- MUFG (New York, NY)
- …building out a sustainable and repeatable process + Issue validation: + Perform first line validation of issues including MSIs, SLoD, TLoD, and regulatory ... group, it's part of our culture to put people first , listen to new and diverse ideas and collaborate...+ Certified Information Systems Auditor (CISA) + Certified in Risk and Information Systems Control (CRISC) +… more
- S&P Global (New York, NY)
- …technology risk and governance strategy, partnering with the second line of defense in Information Security, Digital Technology Services, and Corporate ... Impact:** This role reports to the Head of Technology Risk and Governance in the Global Digital Technology Organization....Management Process document/ methodology + Lead efforts to centralize control gaps/ issues in GRC tool + Lead efforts… more
- MUFG (Jersey City, NJ)
- …will lead and oversee the firm's technology risk management function within the First Line of Defense, reporting directly to the Technology Business Unit ... Risk and Control Officer (BURCO). This executive...to protect the firm's assets, information, and reputation. The First Line Business Unit Risk … more
