- Rose International (New York, NY)
- …Provide recommendations about data risk to the Risk & Controls, Operational Risk Management, Compliance , etc Participate in various forums delivering ... products. team works with all Markets businesses and Client functions, including Legal, Compliance , Finance, Risk and O&T to identify, mobilize and execute… more
- 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
- American Express (New York, NY)
- … risk professionals have diverse backgrounds including internal controls, consumer compliance , technology, operational risk , financial accounting, data ... capabilities and technologies. **About the Role:** The Director, Enterprise Risk Management and Operational Risk ...will lead a team of approximately 2-5 auditors evaluating compliance with ERM and ORM regulations/requirements. This role is… 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
- JPMorgan Chase (New York, NY)
- …Investment Banking Markets (CIB). **Job Responsibilities** + Design and execution of the Compliance , Conduct, and Operational Risk (CCOR) program, which ... Bring your expertise to JPMorgan Chase. As part of Risk Management and Compliance (RM&C), you are...status quo and striving to be best-in-class. As an Operational Risk Management Lead, Vice President within… more
- Citizens (Tarrytown, NY)
- …and mitigate various types of risk with specific focus on aspects of compliance and operational risk for Wealth Management. This includes aspects of ... The First Line Risk Senior Manager will integrate activities between Risk , Compliance , and brokerage and Trust fiduciary management Supervision. Experience… more
- Motion Recruitment Partners (New York, NY)
- …long-term contract opportunity! A well-known Financial Services Company is looking for an Equities Operational Risk Analyst in New York, NY (Hybrid). ... Operational Risk Controls - Equities , 1st...to the Equity Research business + Experience with operational risk framework + Prior experience in 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
- BMO Financial Group (New York, NY)
- …and making recommendations that significantly impact the Bank's ability to monitor regulatory compliance programs, minimize operational risk and align with ... of additional risk mitigating controls pertaining to the Firm's Cash Equities Electronic Trading businesses. The role requires deep expertise of the rules and… 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
- Wells Fargo (New York, NY)
- … Risk or a combination of both. + Knowledge and understanding of compliance or operational risk + Ability to communicate effectively, in both ... of all applicable risk programs (Credit, Market, Financial Crimes, Operational , Regulatory Compliance ), which includes effectively following and adhering to… more
- Bank of America (New York, NY)
- …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
- Meta (New York, NY)
- …integrity, security OR in a role associated with data protection, regulatory response, operational risk management, compliance , audit and implementation of ... We are seeking a Privacy Risk and Compliance Manager with broad operational knowledge across...CRCM) **Public Compensation:** $116,000/year to $168,000/year + bonus + equity + benefits **Industry:** Internet **Equal Opportunity:** Meta is… 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
- TD Bank (New York, NY)
- … compliance risk and performance metrics, measures, and dashboards to better understand compliance risk and the operational risk attendant to the ... execution of our compliance risk management programs. This role partners with the US...and variable compensation/incentive awards (eg, eligibility for cash and/or equity incentive awards, generally through participation in an incentive… 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
