- 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 New York, New York **Job Description:** At Bank of America, we are guided by a common purpose to help make financial ... Join us! **Job Description:** This job is responsible for executing second line of defense compliance and operational risk oversight for a Front Line Unit,… more
- Grant Thornton LLP (New York, NY)
- …limit risk exposure. From day one, you'll be empowered by the greater Regulatory Compliance Operational Risk team to help clients make the moves that ... As a Regulatory Compliance and Operational Risk ...accounts, savings deposits, time deposits, prepaid cards, mortgages, home equity loans/lines of credit, credit cards, auto loans, student… more
- Grant Thornton LLP (New York, NY)
- As a Regulatory Compliance and Operational Risk Senior Manager, you will get the opportunity to grow and contribute to our clients' business needs by ... OCC, and NCUA compliance examination procedures + Compliance , Operational Risk and/or Regulatory...Explore all the ways we're taking action for diversity, equity & inclusion at www.gt.com/careers Here's what you can… 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
- 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
- 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
- Mizuho Corporate Bank (New York, NY)
- …interpersonal and communication skills. + Expertise in Risk , primarily operational Risk , Compliance and Financial Services/AI-related regulations. Model ... or a related field. + Relevant professional certifications in risk management or compliance The expected base...its capabilities span corporate and investment banking, capital markets, equity and fixed income sales & trading, derivatives, FX,… more
- Scotiabank (New York, NY)
- …+ Work closely with other risk partners within the bank including Operational Risk , Compliance , Internal Control, and others within Financial and ... Director, US Trade Floor Risk Management **Requisition ID:** 200548 **Salary Range:** 174,700.00...needs of our clients. Our products include debt and equity financing, mergers & acquisitions, corporate banking, institutional … 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
- 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
- Citigroup (New York, NY)
- …Coverage Team, partnering with Global Equities business and Product Control. The Operational Risk Manager will provide hands-on support to Equities ... Equities informing ORM Product Coverage Heads of operational risk events identified through adjustments +...and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to… 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 and conduct ... risk , including but not limited to responsibilities under the Operational Risk Management Framework, Regulatory Compliance Risk Management Framework… more
- Scotiabank (New York, NY)
- …and effectiveness of day-to-day business controls to meet obligations with respect to operational , compliance , AML/ATF/sanctions and conduct risk . + Champion ... Manager, First Line Operational Risk and New Initiatives, US...needs of our clients. Our products include debt and equity financing, mergers & acquisitions, corporate banking, institutional … more
- American Express (New York, NY)
- … risk professionals with diverse backgrounds including internal controls, consumer compliance , technology, operational risk , financial accounting, data ... into components, solve them using data analysis, process knowledge and risk /control knowledge, and communicate data analysis, issues and control recommendations with… more
- MUFG (New York, NY)
- …defense," responsible for supporting and coordinating the application of the enterprise's operational risk management framework within the North American Markets ... & Controls VP will also assist in the remediation and management of operational risk issues and/or identified control weakness. This includes both… more
- Neuberger Berman (New York, NY)
- …offer a broad platform to accommodate the evolving needs of our clients. Co-Head of the Operational Risk Group in the New York office of a US headquartered asset ... investors worldwide. Our broad capabilities include traditional and alternative equity and fixed income strategies, private equity ...and liaison across local and global business functions on Operational Risk matters and 2) a key… more
- Wells Fargo (New York, NY)
- …this role:** Wells Fargo is seeking **Senior** **Lead Compliance Officers** in Corporate Risk as part of ** Equity Sales and Trading Compliance .** Learn ... 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)
- …& Investment Banking, Commercial Banking, Business Banking, and Small Business Banking, Global Compliance and Operational Risk , Human Resources, and others. ... of winning and delivering workplace benefit solutions (ie retirement, health benefits, equity , etc) to companies of all sizes, leveraging Bank of America's world… more