- Wells Fargo (Wilmington, DE)
- …training, military experience, education **Desired Qualifications:** + Knowledge and understanding of compliance or operational risk . + Knowledge and ... we do. We are seeking candidates who embrace diversity, equity and inclusion in a workplace where everyone feels...areas of risk including, Operational Risk , Model Risk and Compliance … 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
- 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
- Scotiabank (New York, NY)
- …to and effectiveness of day-to-day business controls to meet obligations with respect to operational risk , regulatory compliance risk , AML/ATF risk ... and conduct risk , including but not limited to responsibilities under the Operational Risk Management Framework, Regulatory Compliance Risk … 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
- 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 (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
- 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
- Bank of America (New York, NY)
- …for management of all aspects of risk , including strategic, market, credit, compliance , liquidity, operational , model, and reputational risk matters to ... Market Behavior Modeling Research Risk Analysis Sr. Manager Charlotte, North Carolina;New York,...in one or more of these asset classes - ** Equities , FX, Commodities, Interest Rates, Credits** . Bachelors or… 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
- Scotiabank (New York, NY)
- …to and effectiveness of day-to-day business controls to meet obligations with respect to operational risk , regulatory compliance risk , AML/ATF risk ... Director, US Equity Research Sales **Requisition ID:** 190153 **Salary Range:**..., including but not limited to responsibilities under the Operational Risk Management Framework, Regulatory Compliance… more
- SMBC (New York, NY)
- …an enterprise wide GRC tool. + Support several framework components such as operational risk , controls management, compliance , regulatory change, ... as risk management, compliance , and regulatory change, third party risk management, business continuity management, or operational resilience on a GRC… more
- Neuberger Berman (New York, NY)
- …Portfolio Managers, Legal & Compliance , Operations, Technology, Relationship Managers, Operational Risk and Client Service as it relates to investment ... guideline compliance issues + Oversee all asset classes, including Equities , Fixed Income and Alternatives, and build out processes and controls in growth areas… more
- American Express (New York, NY)
- … risk professionals have diverse backgrounds including internal controls, consumer compliance , technology, operational risk , financial accounting, data ... one professional certification. Our audit teams align to key risk areas and business units to ensure IAG can...the use of Gen AI for reputational, strategic and compliance risks. + Maintain internal audit competency through ongoing… more