- Raymond James Financial, Inc. (New York, NY)
- …information and decisions. Take responsibility for developing and delivering the organization's risk management and/or risk control policies and procedures. Lead ... and related guidelines for a significant area of responsibility, ensuring compliance with external requirements and integration with the broader corporate policy… more
- FanDuel (New York, NY)
- …looking for an Enterprise Risk Manager to drive our second line enterprise risk program initiatives and act in advisory role to their aligned area of the ... first line team(s) (eg, Enterprise Risk Assessment, Risk Register), identify trends and provide additional advisory...solver, and collaborator Experience working as a consultant covering risk , compliance or audit work a plus… more
- HSBC (New York, NY)
- …lending, specialized lending, global trade finance and global payment solutions, Credit Risk , Regulatory Compliance , Internal Audit, etc). Experience in Global ... finance, supply chain and receivable finance solutions Capital Markets & Advisory , covering Debt Capital Markets, Strategic Equity financing, Structured Finance, and… more
- HSBC (New York, NY)
- …business (asset classes) and support functions (market risk , liquidity risk , finance, operations, surveillance, regulatory compliance , etc) Exhibit ... of the 3 lines of defence functions (eg Product Control / Finance, Market Risk , Regulatory Compliance , Front Office, Markets Operations, Model Risk ,… more
- Citigroup, Inc. (Paramus, NJ)
- …of our Affluent and High-Net Worth clients, including a Wealth Relationship Manager and field experts such as Financial Planners, Insurance Specialists, Portfolio ... referral leads Manage client follow-up and adhere to all Regulatory and Compliance operating procedures Ensure strict adherence to KYC/AML and other compliance… more
- Marcum Search LLC (New York, NY)
- …responsible for the tax affairs, covering all aspects of taxation including tax compliance , reporting, tax risk management, and tax support to business ... or related field. CPA certification preferred. 8+ years' experience of tax compliance , preparation and advisory experience. Strong knowledge of federal, state,… more
- TD Bank Group (New York, NY)
- …stakeholders across TD Securities, including Markets sales and trading leaders, Technology, Advisory Compliance , and Risk functions. The incumbent provides ... are responsible for identifying and escalating potential market abuse alerts to Advisory Compliance and business supervisors. The incumbent will be responsible… more
- PGIM (Newark, NJ)
- …conducting due diligence for a variety of alternative and/or traditional. Investment manager risk management or due diligence experience. Experience working with ... filings, marketing materials, due diligence questionnaires, valuation policies and compliance policies and procedures, and document findings. Research asset … more
- BlackRock, Inc. (New York, NY)
- …asset management firms and a premier provider of global investment management, risk management and advisory services to institutional, intermediary, and ... iShares(R) ETFs. Elevate your career by joining the world's largest asset manager ! Thrive in an environment that cultivates positive relationships and recognizes… more
- TheStaffed (New York, NY)
- …UAT planning, testing strategies, and post-implementation validation. *Comfortable collaborating across Compliance , Legal, Risk , and Technology teams to deliver ... management consulting firm, is seeking an experienced Senior Product Manager with SME-level expertise to lead and drive strategic...lead and drive strategic initiatives within the Legal and Compliance functions for a top-tier US Bank. This role… more
- BlackRock, Inc. (New York, NY)
- …understanding of industry trends, client needs, and BlackRock's capabilities across investment management, risk , and advisory . You will be a key point of contact ... firms. We pride ourselves on creating and delivering bespoke investment solutions, advisory , and analysis to our sophisticated client base. The group is one… more
- Datadog (New York, NY)
- …work cross-functionally, evaluating how business processes and IT intersect to impact compliance , operational efficiency, and risk management. At Datadog, we ... Datadog's Internal Audit team is focused on fostering a risk intelligent culture across Datadog and delivering forward looking insights by providing risk -based… more
- LanceSoft (Jersey City, NJ)
- …work closely with the local functional supervisory SLA team (ie, Legal, Finance, Tax, Compliance , Third Party Risk , etc.) in Canada to help facilitate the SLA ... have almost daily interactions with the following departments: legal, finance, tax and compliance and also the business sponsors of the request s/he is managing.… more
- Axelon Services Corporation (Jersey City, NJ)
- …work closely with the local functional supervisory SLA team (ie, Legal, Finance, Tax, Compliance , Third Party Risk , etc.) in Canada to help facilitate the SLA ... have almost daily interactions with the following departments; legal, finance, tax and compliance and also the business sponsors of the request s/he is managing.… more
- Chilton Trust (New York, NY)
- …credit risk assessments and analysis to support the portfolio manager 's investment decisions. Partner with Firm's Economist, wealth and client advisors to ... guidelines, client mandates, and applicable regulatory frameworks. Work closely with compliance , operations, and legal teams to support best practices and… more
- Bloomberg (New York, NY)
- Risk Manager - Engineering Advisory -... Risk Office Location New York Business Area Legal, Compliance , and Risk Ref # 10040985 **Description & ... Compliance , Finance, Operational Resilience, and Internal Audit, to provide centralized risk frameworks, processes, tools, training and advisory services to… more
- Truist (New York, NY)
- …of America) **Please review the following job description:** A first line of defense risk professional leading a team within the Wholesale Business Unit Risk ... and trading businesses. This position will be responsible for leading a team of risk professionals to support the execution of enterprise risk programs and… more
- American Express (New York, NY)
- …policy and external regulatory frameworks. **The Key responsibilities are as follows:** The Manager of Enterprise Compliance Advisory & Practices will ... define the future of American Express. **Description:** The Enterprise Compliance Advisory & Practices (ECAP) team is...& Control Offices) in several critical areas related to compliance risk management. + Drive understanding and… more
- TD Bank (New York, NY)
- …capacity. The Senior Manager will provide support to the overall Markets Advisory Compliance team helping with large projects impacting all the Firms ... path to direct coverage over time. **Responsibilities:** + Provide compliance advisory coverage for the markets ...policies and procedures for covered business areas. + Conduct compliance risk assessments to ensure effective business… more
- TD Bank (New York, NY)
- …Description:** **Preferred Qualifications:** We are looking for a Vice President, US Markets Compliance Advisory to join our team in NYC. The ideal candidate ... team are in a manner consistent with the Bank's risk culture and the relevant risk appetite...relevant control personnel. **Position Requirements** + 5-7+ years of compliance advisory experience. Similar experience with a… more
