- US Bank (Minneapolis, MN)
- …what you excel at-all from Day One. **Job Description** The Risk Management and Compliance (RM&C) Operational Risk Framework Analyst is part of US Bank's ... growing team that is responsible for ensuring the business line's adherence to key Operational Risk Framework programs as well as the identification of gaps… more
- Citigroup (New York, NY)
- …across the Global Equities business, central Markets teams, Independent Compliance Risk Management, Internal Audit, Bank Regulatory Legal and participate ... controls environment. Equities business lines include Cash Equities , Equity Derivatives, Delta 1, Prime Finance...procedures that conform to enterprise requirements and support sound operational and compliance risk management.… more
- Banc of California (Santa Ana, CA)
- …Work related experience must consist of an in-depth background in Compliance , Enterprise Risk , Operational Risk and/or other risk background. + Prior ... housing, and more. **Job Summary** Responsible for managing and implementing the operational risk management methodology and framework for the Company including… more
- M&T Bank (Buffalo, NY)
- …salary recommendations, performance management and terminations. + Adhere to applicable compliance / operational risk controls in accordance with Company ... **Overview** Responsible for in-depth monitoring, evaluation, and risk identification on the Bank's exposure to counterparty and Investment credit risks, including… more
- Citizens (Johnston, RI)
- …and mitigate various types of risk with specific focus on aspects of compliance and operational risk for Wealth Management. This includes aspects of ... and services. The Senior Risk Director will integrate activities between Risk , Compliance , and brokerage and Investment management Supervision. Experience in… more
- JPMorgan Chase (Columbus, OH)
- …across RM&C, and manage a large portfolio of strategic initiatives that mitigate compliance and operational risk , gathering and critically analyzing diverse ... President in the Legal Obligations and Regulatory Change Management team within the Risk Management and Compliance (RM&C) global organization, you will lead a… more
- JPMorgan Chase (Columbus, OH)
- …+ Strong business writing skills + 5+ years experience in Wholesale Audit, Compliance , Operational , and/or Regulatory Risk Management + Demonstrated ability ... develop and maintain policies, standards, guidelines, and procedures, including regulatory compliance measures and risk advisory. **Job Responsibilities** + Work… more
- SMBC (Jersey City, NJ)
- …process management or financial services industry experience, including direct experience in compliance and/or operational risk management + Experience ... Department Americas Division ("CPAD"). This team focuses on several key compliance risk types, including consumer compliance , investment banking… more
- Wells Fargo (New York, NY)
- …of all applicable risk programs (Credit, Market, Financial Crimes, Operational , Regulatory Compliance ), which includes effectively following and adhering to ... our focus on building strong customer relationships balanced with a strong risk mitigating and compliance -driven culture which firmly establishes those… more
- HSBC (New York, NY)
- …in Banking Operations/Back Office Operations, Global Markets business (FX, Fixed Income and Equities ), Operational Risk , Compliance or External/Internal ... share. The Markets & Securities Services OperationsNon-Financial RiskTeam is seeking an experienced risk professional to be a part of our dynamic US team. The NFR… more
- Wells Fargo (Dallas, TX)
- …of Directors **Required Qualifications, US:** + 5+ years of Risk Management experience ( Operational Risk , Compliance Risk , Reputation Risk , ... of all applicable risk programs (Credit, Market, Financial Crimes, Operational , Regulatory Compliance ), which includes effectively following and adhering to… more
- S&P Global (New York, NY)
- …of the US and the EU financial regulation framework. + Some understanding of operational or compliance risk management process. + Excellent excel and ... by (1) or more years of professional experience in Research or Capital Markets Compliance , Internal Audit, or Operational Risk Management or similar fields,… more
- Wells Fargo (Charlotte, NC)
- …increased risk exposure + Collaborate with risk partners in Audit, Compliance , Operational Risk , and Operations' LOBs to actively manage risk ... of all applicable risk programs (Credit, Market, Financial Crimes, Operational , Regulatory Compliance ), which includes effectively following and adhering to… more
- Wells Fargo (Charlotte, NC)
- …rules and regs that are not covered by compliance will be handled in Operational Risk . + Beneficial to have experience with how Wells Fargo creates Major ... of all applicable risk programs (Credit, Market, Financial Crimes, Operational , Regulatory Compliance ), which includes effectively following and adhering to… more
- Bank of America (Charlotte, NC)
- …a highly skilled subject matter expert in test script design and test execution for Compliance and Operational Risk . The Testing Manager IC, in collaboration ... a timely manner. The Testing Manager IC consults with compliance officers and operational risk ...or back office experience or market and product knowledge ( Equities , Foreign Exchange, Fixed Income and Commodities/Futures Options. *… more
- Bank of America (New York, NY)
- …and escalating defects, preliminary reporting and analysis of results, and collaborating with Compliance and Operational Risk officers and/or Front Line Unit ... a team in support of coverage needs identified by Compliance and Operational Risk officers...or back office experience or market and product knowledge ( Equities , Foreign Exchange, Fixed Income and Commodities/Futures Options. *… more
- SMBC (New York, NY)
- …a competitive portfolio of benefits to its employees. **Role Description** + Manage the compliance and operational risk associated with the daily execution ... Operational Risks, Code of Conduct Risks and Fraudulent Risk + Ensure the compliance with the...creating an inclusive environment through awareness and practice of equity in recruiting, developing, and promoting diverse talent. SMBC's… more
- Scotiabank (New York, NY)
- …projects and normal business-as-usual process ( Risk and Control Self Assessments, Compliance Risk Assessment, Operational Risk Events, Booking ... needs of our clients. Our products include debt and equity financing, mergers & acquisitions, corporate banking, institutional ...Able to assist Front Office capital markets businesses on operational /process, risk , and compliance issues… more
- M&T Bank (Buffalo, NY)
- …with what was represented in the regulatory applications. + Adhere to applicable compliance / operational risk controls in accordance with Company or ... **Overview:** _Asset manager function will support various tax credit equity investments (eg LIHTC (Low Income Housing Tax Credit, HTC(Historic Tax Credit), NMTC(New… more
- Highmark Health (Buffalo, NY)
- …appropriate methodology to be used and procedures to be performed for third-party risk , technology, operational compliance , and security programs, across a ... job is responsible for the day-to-day direction of all risk and compliance assessment activities of Highmark... engagements to ensure appropriate security, audit, regulatory and operational risk terms are appropriately addressed. Interact… more