- 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
- 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 Investment management Supervision. Experience in… more
- Motion Recruitment Partners (New York, NY)
- …long-term contract opportunity! A well-known Financial Services Company is looking for a Equities Operational Risk Analyst in New York, NY (Hybrid). ... Operational Risk Controls - Equities ,...the Equity Research business - Experience with operational risk framework, the - Prior experience in… 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
- 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
- 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)
- …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 (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
- Wells Fargo (New York, NY)
- …in enterprise-wide initiatives that reach multiple lines of businesses + Experience in compliance or operational risk management including knowledge and ... of all applicable risk programs (Credit, Market, Financial Crimes, Operational , Regulatory Compliance ), which includes effectively following and adhering to… 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