- Cetera Financial Group, Inc. (St. Paul, MN)
- …Officer will maintain effective compliance policies and procedures to minimize risk and promote compliance within the organization. Success is defined primarily ... Financial Group, including the CISO and internal audit. Participate in risk management activities, including monitoring the effectiveness of internal controls and… more
- WTW (New York, NY)
- … and Broking) are made up of highly motivated and recognized market leaders within the Political and Credit Risk market. We have a global footprint with ... with our teams across the globe. **The Role** A role for an Associate Broker within Credit Risk Solutions team in New York has arisen for an enthusiastic… more
- Axis (Alpharetta, GA)
- …knowledge of surety claims practices. + Prior surety reinsurance experience or Trade Credit , political risk underwriting. **Role Factors:** In this role, ... We stand apart for our outstanding client service, intelligent risk taking and superior risk adjusted returns...and service industry knowledge and trends in combination with credit analysis skills to form an opinion on a… more
- SMBC (New York, NY)
- …with SMBC's Securitized Products and Capital Solutions Department (SPCS) to evaluate the credit risk of non-bank loan originators and servicers in connection ... adapt to changing market conditions. + In-depth knowledge of all elements of credit risk and thorough knowledge of legal/compliance considerations for non-bank… more
- Arena Investors LP (Jacksonville, FL)
- …regulatory compliance experience at a SEC-registered investment adviser (primarily private credit exposure); . Experience with broker -dealer compliance (ideally ... the Investment Advisers Act of 1940; . Support the CCO with FINRA broker -dealer requirements; . Monitoring of Client guidelines and restrictions; . Review of… more
- Lincoln Financial (New York, NY)
- …and secondary investments across alternatives strategies including private equity, hybrid credit , and hedge funds *Conduct due diligence on current and prospective ... due diligence questionnaires, market and regulatory reports. *Assess suitability and risk associated with the execution of investment strategies: prepare and present… more
