- Bank of America (New York, NY)
- Equities Compliance and Operational Risk Manager New York, New York **Job Description:** At Bank of America, we are guided by a common purpose to help ... job is responsible for executing second line of defense compliance and operational risk oversight...rules, and regulations applicable to equities and equity derivatives + Understanding of compliance program… more
- Bank of America (New York, NY)
- Compliance and Operational Risk Manager - Trade Surveillance New York, New York;Charlotte, North Carolina **Job Description:** At Bank of America, we are ... job is responsible for executing second line of defense compliance and operational risk oversight...Experience with, and calibration of, Trade Surveillance programs in Equities , Futures, Fixed Income and/or FX products. + Knowledge… more
- Grant Thornton LLP (New York, NY)
- As a Regulatory Compliance and Operational Risk Senior Associate, you will get the opportunity to grow and contribute to our clients' business needs by ... Proven technical ability handling compliance issues, CRCM certification preferred + Compliance risk management, audit, or risk management, background… more
- Grant Thornton LLP (New York, NY)
- As a Regulatory Compliance and Operational Risk Manager, you will get the opportunity to grow and contribute to our clients' business needs by providing ... handling compliance issues + Knowledge of consumer protection principles, compliance management systems, compliance risk management, consumer protection… more
- Grant Thornton LLP (New York, NY)
- As a Regulatory Compliance and Operational Risk Manager, you will get the opportunity to grow and contribute to our clients' business needs by providing ... handling compliance issues + Knowledge of consumer protection principles, compliance management systems, compliance risk management, consumer protection… more
- American Express (New York, NY)
- … risk professionals have diverse backgrounds including internal controls, consumer compliance , technology, operational risk , financial accounting, data ... lead a global team of auditors evaluating enterprise frameworks and processes for Global Compliance and Conduct Risk . This is an excellent opportunity for a… 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
- Bank of America (New York, NY)
- Global Markets Risk Manager - Equities Market Risk New York, New York **Job Description:** At Bank of America, we are guided by a common purpose to help make ... reports, and interfacing with the trading desk and other risk and support groups (ie, Compliance , Finance,...Finance, Operations, etc.). This position is in the Market Risk Management team covering Global Equities trading… more
- Citizens (New York, NY)
- …and industry best practices. Position Overview: As the Director of Institutional Equities , Options, and Fixed Income Compliance , you will be responsible ... Supervisory Procedures (WSPs), desk procedures, and supervisory structures to ensure compliance and operational efficiency. + Proactively monitor regulatory… 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 ... **About this role:** The applicant will join the CIB Equity Derivatives Quant team to work closely with the...on building strong customer relationships balanced with a strong risk mitigating and compliance -driven culture which firmly… more
- JPMorgan Chase (New York, NY)
- …functions supporting the Equity Derivatives, Equity Structuring, and Cash Equity Trading businesses, as well as providing operational support across all ... closely with the Front Office, Core Operations, Technology, Supervisory, Risk , Compliance , and other areas of the...in the Financial Services industry, ideally with specialization in Equity Derivative and/ or Cash Equities products… more
- Citigroup (New York, NY)
- ** Equities Derivatives Production Support Team** **About the Role:** This is an excellent opportunity for outstanding **Application** **Su** **pport Engineers** who ... exciting projects geared towards the automation and innovation of current processes and operational requirements. This is an AVP level position, and we are seeking… more
- JPMorgan Chase (New York, NY)
- …in financial services industry with background in controls, audit, quality assurance, operational risk management, or compliance ; or equivalent subject ... timely remediation of these issues. You will also assist in top-down risk analysis, real-time control issue detection, escalation, root cause analysis, and… more
- JPMorgan Chase (New York, NY)
- …product, technology, and operational inquiries related to assigned projects + Leading risk & margin projects on behalf of the business from inception through to ... commercial and robust product solutions designed to enhance our Risk & Margin capabilities. Job Summary: As a Vice...Job Summary: As a Vice President in the Global Equities - Prime Finance Product Development team, you will… more
- SMBC (Jersey City, NJ)
- …and controls effectiveness testing concepts + Prior experience with control evaluation within model risk , operational risk , compliance risk , ... capital markets, asset liability management, financial reporting, regulatory reporting, or operational risk areas. Specific experience within Model Risk… more
- Bank of America (Jersey City, NJ)
- …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 (Jersey City, NJ)
- …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
- 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 ... 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
- Neuberger Berman (New York, NY)
- …hedge fund and private equity ), sales distribution and supervision, UCITS governance, Compliance , operational , risk and performance audits + Work closely ... controls, and recommend business efficiency opportunities + Evaluate the integrity of operational data and compliance with established policies and procedures… 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