- SMBC (Jersey City, NJ)
- …to its employees. **Role Description** SMBC Group is seeking a Vice President for the Compliance Risk Assessment team ("CRA team") within the Compliance ... Executive Director, Head of Risk and Control Assessment . As a Compliance Risk Assessment ("CRA") Vice President, this role will assist in managing a… more
- Citigroup (New York, NY)
- Serves as a senior compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies, ... established within the risk governance framework. + Monitoring adherence to Citi's Compliance Risk Policies and measuring compliance risk through… more
- Citigroup (Jersey City, NJ)
- The Compliance Anti-Money Laundering (AML) Risk Management Senior Officer is a senior level position responsible for establishing internal procedures to ... management policy and strategic direction + Maintain AML compliance program for the business including assessment ...duties may be assigned as required. **Job Family Group:** Compliance and Control **Job Family:** AML Risk … more
- Citigroup (Jersey City, NJ)
- The Compliance Anti-Money Laundering (AML) Risk Management Senior Officer is a senior level position responsible for establishing internal procedures to ... management policy and strategic direction + Maintain AML compliance program for the business including assessment ...duties may be assigned as required. **Job Family Group:** Compliance and Control **Job Family:** AML Risk … more
- Citigroup (New York, NY)
- …first line of defense Underwriting (Credit Officer CO designation) including assessment of portfolio risk , liquidity of client positions, and credit limits, ... accordance with appropriate controls **Qualifications** + Experienced credit underwriter and/or credit risk officer with relevant Funds industry expertise + 5+… more
- Citigroup (Queens, NY)
- …the execution of a process (QA). + Support in dealing with Operational and Compliance Risk in accordance with established Policy requirements. + Assist in ... The Business Risk and Control Officer is a...to identify, assess, record and response to Operational and Compliance Risk events, ensuring these are captured… more
- Citigroup (Queens, NY)
- …a process (QA). + Assist management in exercising control over Operational and Compliance Risk in accordance with established Policy requirements. + Help ... The Business Risk and Control Sr Officer I...to identify, assess, record and response to Operational and Compliance Risk events, ensuring these are captured… more
- Raymond James Financial, Inc. (New York, NY)
- **Description** **Job Summary** The Senior Vice President, Chief Risk Officer for the Private Client and Asset Management business reports to the Chief Risk ... mitigation strategies. * Leads the development and implementation of risk assessment and quantification models needed to...to provide essential risk context. * Reports risk -related data including risk exposure, compliance… more
- Citigroup (Queens, NY)
- The Business Risk Senior Officer I with support...a robust Manager's Control Assessment (MCA) in compliance with the Citi Operational Risk Policy ... risks for our business. This role will be engaged in driving policy compliance across the Enterprise Risk Management Framework for the Wealth organization.… more
- Citigroup (Queens, NY)
- The Business Risk Senior Officer I is a...a robust Manager's Control Assessment (MCA) in compliance with the Citi Operational Risk Policy. ... control issues with transparency. **Qualifications:** + 10+ years experience in Operational Risk Management, Audit, Compliance or other control function +… more
- City of New York (New York, NY)
- …and mitigating risks across diverse technology domains, ensuring timely resolution of risk assessment tickets, and possess a relentless commitment to staying ... firewalls, IoT devices, software, custom development, and technology acquisitions. Fulfill risk assessment tickets in a timely manner, ensuring accurate… more
- City of New York (New York, NY)
- …firewalls, IoT devices, software, custom development, and technology acquisitions. Fulfill risk assessment tickets in a timely manner, ensuring accurate ... with cybersecurity requirements for various technology domains. Continuous Process Improvement in Risk Assessment : Lead initiatives to enhance the efficiency and… more
- Citigroup (New York, NY)
- Job Description The Business Risk and Control Officer will have responsibility for overseeing the quality of documentation and artifacts which evidence the ... are of high quality focusing on: + Root cause assessment + Completion criteria + Dependency evaluation + Sustainability...+ Completion criteria + Dependency evaluation + Sustainability + Risk reduction + Action plan quality + Liaise with… more
- Citigroup (Queens, NY)
- …sub committee, and business forum. This role will work closely with our risk management, control, and compliance organization to ensure the appropriate ... The Wealth Management Business Risk & Controls Governance Manager will lead the...Enhance our global Wealth fiduciary governance framework to drive compliance with regulatory and internal governance requirements for monitoring,… more
- Citigroup (Jersey City, NJ)
- Serves as a compliance risk officer for...and second line of defense. Also responsible for performing risk assessment of Citi's compliance ... design and effectiveness of key controls designed to address compliance risk ; reporting and escalating control issues...within the Global Markets business, in accordance with the Compliance Independent Assessment (CIA) Plan. + Act… more
- SMBC (New York, NY)
- …and maintain best practice across the Firm. + Plays a key role in the Compliance risk assessment exercise. **Qualifications and Skills** + Extensive ... responsible for overseeing the management of the broker dealer's compliance risk , and is represented by the... risk , and is represented by the Chief Compliance Officer as either a member or… more
- Citigroup (Jersey City, NJ)
- Serves as a compliance testing officer for Independent Compliance Risk Management (ICRM)'s Independent Assessment team responsible for assessing ... compliance testing and reporting programs in accordance with the Compliance Independent Assessment Plan. + Participating in the planning, executing,… more
- Scotiabank (New York, NY)
- Senior Manager, Markets Compliance Officer **Requisition ID:** 204138 **Salary Range:** 110,700.00 - 211,800.00 _Please note that the Salary Range shown is a ... proposals as required under NIRA/NIA policies. Provide a written description supporting the Compliance assessment of NIAs in line with the requirements of US… more
- SMBC (New York, NY)
- …between the Functions and 2nd LoD, including Risk Management and Compliance . Head of Functions Control Officer oversees each Functional area Control ... its employees. **Job Summary** The Head of Functions Control Officer is a leader, change agent, and risk...BCO staff in their process & control-related objectives, including risk assessment (RCSA), issue management, root cause… more
- SMBC (New York, NY)
- … Officer staff in their process and control-related objectives, including risk assessment (RCSA), issue management, root cause analysis, control testing ... Officer (FCO) is a leader, change agent, and risk management expert. The role provides the AD Operations...process mapping and process reengineering 2. Expert knowledge of risk assessment and issue management 3. Expert… more