- SMBC (Jersey City, NJ)
- …a competitive portfolio of benefits to its employees. **Role Description** This Finance Control Oversight Vice President (VP) role will support the review and ... in the financial services industry. + Extensive knowledge/experience of process and control design and execution, risk assessment, and issue management. +… more
- TD Bank (New York, NY)
- …must have compliance experience in the investment banking space, preferably in an advisory capacity. The Vice President will assist in the management of ... role. **Job Description:** **Preferred Qualifications:** We are looking for a Vice President, Compliance - US Corporate Investment Banking Compliance Advisory… more
- TD Bank (New York, NY)
- …details for this role. **Job Description:** **Preferred Qualifications:** We are looking for a Vice President, US Markets Compliance Advisory to join our team in ... NYC. The ideal candidate must have compliance advisory experience with background in OTC and Exchange-Traded Equities,...firm policies for covered business areas + Conduct compliance risk assessments to ensure effective business control … more
- JPMorgan Chase (New York, NY)
- …of deal execution for bank and bond financings, and equity and debt advisory , focusing primarily on transactions in Power/Energy and/or Digital Infrastructure in the ... Oversee the development of financial models + Lead credit risk and other internal approval processes + Assist product...and derivatives, as well as our partners across the control functions + An ability to juggle deliverables for… more
- Bloomberg (New York, NY)
- Risk Officer - Enterprise Products ( Risk Advisory ) - Chief Risk Office Location New York Business Area Legal, Compliance, and Risk Ref # 10046060 ... First Line of Defense (1LOD) risk execution and partnering on Risk Control Self-Assessment (RCSA) activities + Successfully identify and recommend … more
- Citigroup (Jersey City, NJ)
- Serves as a compliance risk officer for the Independent Compliance Risk Management (ICRM)'s Control Room team. The ICRM Global Surveillance platform ... employee trading, outside activities surveillance, and information barrier controls/surveillance. This Vice President (VP) role sits within the Control Room… more
- Bloomberg (New York, NY)
- Risk Manager - Engineering Advisory -...Defense (FLOD) risk execution and partnering on Risk Control Self-Assessment (RCSA) training efforts + ... and Compliance, Finance, Operational Resilience, and Internal Audit, to provide centralized risk frameworks, processes, tools, training and advisory services to… more
- JPMorgan Chase (New York, NY)
- …of Business (LOB), global and regional Compliance teams, Internal Audit, Operational Risk , Control , and other functions. The candidate should possess expertise ... degree + 8+ years of relevant industry experience in compliance, audit, risk management, or similar control -related function, including knowledge of, and… more
- Mizuho Corporate Bank (New York, NY)
- …to align all controls and reporting requirements. + Facilitate the completion of annual Risk Control Self Assessments with teams across Operations. + Assist in ... the overall control environment. + Coordinate with other internal functions (Non-Financial Risk , Business Risk & Control , Compliance ) on the… more
- Citigroup (New York, NY)
- …underwriting, identification, measurement, management, and monitoring for wholesale credit risk across the enterprise. Within ICM, the Credit Underwriting function ... all wholesale credit businesses including Banking, Capital Markets, and Advisory (BCMA), Global Structured Products, Financings, and Securitizations (GSP-F&S),… more
- Mizuho Corporate Bank (New York, NY)
- Title Vice President - Treasury COO office (Japanese bilingual preferred) About the Team The Treasury COO office supports the various Treasury teams with strategic ... and government policy trends-especially, liquidity, capital, IRRBB (Interest Rate Risk in the Banking Book), regulatory supervision framework, and funding… more
- BlackRock (New York, NY)
- …preeminent asset management firms and an outstanding provider of global investment management, risk management and advisory services. BlackRock offers a range of ... **About this role** **Aladdin Client Business, Preqin - Vice President** **BlackRock Overview:** BlackRock is one of...and organizational skills with the ability to manage and control their own priorities to meet deadlines + A… more
- MUFG (New York, NY)
- …with Corporate Banking clients, Relationship Managers, Product Groups, Onboarding Unit, Quality Control , AML Advisory and other stakeholders + Partner with ... Relationship Managers/Product Groups to enable more enriched discussions on risk /AML/Sanctions compliance issues, while managing the progress of KYCs from an end to… more
- Citigroup (New York, NY)
- …and evaluating comprehensive financial plans** **Work closely with the client advisory team (Private Bankers, Investment Counselors, and Wealth Planners) to develop ... proposals** **Explores and develops new business opportunities** **Appropriately assess risk when business decisions are made, demonstrating particular consideration… more
- Raymond James Financial, Inc. (New York, NY)
- Under limited direction with a high level of autonomy, the Vice President of RJF Risk Data & Analytics will support the technology, platforms, data and analytics ... of RJF Risk Management across all financial and non-financial ...tooling strategy in order to effectively identify, measure, monitor, control and report on risks on a timely and… more
- American Express (New York, NY)
- …mission is to protect and enhance organizational value by providing independent, objective, risk -based assurance and advisory services, and to influence the way ... Salt Lake City, or Phoenix and reports to the Vice President, Audit Leader of IAG's Global Compliance team....and how to translate these considerations into evidence and risk -based insights + Guides team in applying control… more
- TD Bank (New York, NY)
- …Audit as well as support regulatory interactions + Contributing metrics to Conduct Risk Committees and Vice Chair/EMD supervision meetings + Key stakeholders on ... projects improving and maintaining tools supporting the electronic trading control framework + Assist in the onboarding of new...onboarding of new automated trading activities + Assist in risk assessment and market abuse risk assessments… more
- TD Bank (New York, NY)
- …evolving regulatory requirements and assess potential impacts + Maintain a culture of risk management and control , supported by effective processes in alignment ... role. **Job Description:** The TD Securities US Compliance team is looking for Vice President candidates to join the trade surveillance team, specializing in Fixed… more
- Mizuho Corporate Bank (New York, NY)
- …ongoing compliance. SummaryThe Regulatory Relations Team is seeking an Assistant Vice President ("AVP") to primarily support and coordinate supervisory examinations, ... Examinations and Routine Continuous Monitoring Activities: + Support business and control functions in examinations. Responsibilities include, but not limited to,… more
- SMBC (Jersey City, NJ)
- …Crimes Prevention Unit, ("FCPU"), the Sanctions Compliance Team ("SCT") manages sanctions risk from a second-line of defense perspective. Investigations is a team ... in the Investigations teams help lead the team on the behalf of the Vice President ("VP") and report into the VP. Associates have responsibility for overseeing the… more
