- Citizens (Austin, TX)
- Description The CSI Principal Control Professional is responsible for conducting supervisory reviews of submitted new investment and insurance business, and ... + 5 or more years of experience in investment securities sales, sales supervision, operations, or compliance + FINRA...fast- paced environment + In depth knowledge of the securities industry, rules, regulations, and sales practices + Ability… more
- Northrop Grumman (Linthicum, MD)
- …within our Space Systems sector Business Management organization. If selected, the ** Principal Program Cost Control Analyst** **(PCA)** will provide support ... Analyst** + Bachelor's degree with 3+ years of related professional experience - OR - a Master's degree with...current/active DoD Top Secret Clearance **Basic Qualifications for a Principal Program Cost Control Analyst** + Bachelor's… more
- HSBC (Buffalo, NY)
- …people, our investors, our communities and the planet we all share. As the Principal Review Desk Principal (PRD) your position reviews and supervises investment ... and procedures. In this role you will supervise general securities transactions, the approval of customer accounts, training of...supervisory personnel and the maintenance of records. As our Principal Review Desk Principal you will: +… more
- Morgan Stanley (Purchase, NY)
- …global financial services firm that conducts its business through three principal business segments-Institutional Securities , Wealth Management, and Asset ... Stanley can provide a superior foundation for building a professional career - a place for people to learn,...Morgan Stanley. * * *Role Description:* * Perform Quality Control reviews for the Firm's Wealth Management and US… more
- Morgan Stanley (New York, NY)
- …global financial services firm that conducts its business through three principal business segments-Institutional Securities Group ("ISG"), Global Wealth ... ("VP") to join the Deposits and Cash Management Business Control Unit team. The VP will report into the...may be required *Required Experience:* *Minimum 6-8 years of professional experience in financial services industry; preferably in risk… more
- Principal Financial Group (Des Moines, IA)
- **What You'll Do** As a Director of Compliance within Principal Global Investors you'll support Private Funds. This person will primarily support the private funds ... forensic testing. + Developing compliance policy, procedure, questionnaire, and control recommendations designed to mitigate compliance risks and prevent violations… more
- Federal Reserve System (Philadelphia, PA)
- …Financial economists also conduct original research for publication in academic and professional journals, particularly in the areas of retail credit risk, household ... only to researchers within the Federal Reserve System. There are opportunities for professional training, and the Bank provides support for travel to academic and… more
- JPMorgan Chase (New York, NY)
- …best practices in the industry. manages credit risk oversight of marketable- securities -backed lending programs, capital markets activities, derivative programs, and ... principal market risk for the Global Private Bank (GPB)...assumptions for Lending Value / Initial Margin for clients' securities / derivatives activity; Partner with firmwide QR and… more
- Morgan Stanley (Tampa, FL)
- …a global financial services firm that conducts its business through three principal business segments: Institutional Securities , Wealth Management (WM), and ... Stanley can provide a superior foundation for building a professional career a place for people to learn, achieve,...EDD Operations Team Associate will:* - Strong knowledge of control frameworks and the ability to design and evaluate… more
- Morgan Stanley (New York, NY)
- …a global financial services firm that conducts its business through three principal business segments-Institutional Securities , Wealth Management (WM), and Asset ... Stanley can provide a superior foundation for building a professional career - a place for people to learn,...Banking & Lending client relationships. > Actively identify, measure, control and remediate money laundering and reputational risk issues… more
- Morgan Stanley (Purchase, NY)
- …global financial services firm that conducts its business through three principal business segments-Institutional Securities , Wealth Management, and Asset ... Stanley can provide a superior foundation for building a professional career - a place for people to learn,...material changes to client information * Actively identify, measure, control and remediate AML and Operational Risk issues with… more
- Morgan Stanley (Purchase, NY)
- …global financial services firm that conducts its business through three principal business segments-Institutional Securities , Wealth Management inclusive of ... Stanley can provide a superior foundation for building a professional career - a place for people to learn,...the Firm's risk tolerance levels - Actively identify, measure, control and remediate AML and reputational risk issues with… more
- Morgan Stanley (Purchase, NY)
- …global financial services firm that conducts its business through three principal business segments-Institutional Securities , Wealth Management, and Asset ... and strong team ethic. Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn, to achieve and to grow.… more
- Morgan Stanley (Miami, FL)
- …a global financial services firm that conducts its business through three principal business segments-Institutional Securities , Wealth Management (WM), and Asset ... Stanley can provide a superior foundation for building a professional career - a place for people to learn,...of wealth * Reviewing and responding to monthly quality control findings related to the source of wealth review… more
- Morgan Stanley (Tampa, FL)
- …global financial services firm that conducts its business through three principal business segments-Institutional Securities , Wealth Management, and Asset ... and strong team ethic. Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn, to achieve and to grow.… more
- Citigroup (New York, NY)
- The Quantitative Analyst is a strategic professional who stays abreast of developments within own field and contributes to directional strategy by considering their ... Rate Derivatives quant working closely with Trading, Sales, Structuring and Risk and Control Functions. The role is reporting directly to Global Head of Non-Linear… more
- Ventura County (Ventura, CA)
- …public retirement systems, such as PERS. + Additional Benefits - Professional Memberships, Disability Plans, Employee Assistance Program, Life Insurance, Tuition ... plans, leads, schedules, assigns and monitors the work of assigned professional and technical staff; assumes ongoing project management responsibilities with respect… more
- Morgan Stanley (New York, NY)
- …financial services firm providing a wide range of investment banking, securities , investment management and wealth management services. The Firm's employees serve ... Stanley can provide a superior foundation for building a professional career - a place for people to learn,...basis, the position works closely with various businesses and control functions to help ensure that the bank appropriately… more
- Morgan Stanley (New York, NY)
- …global financial services firm that conducts its business through three principal business segments-Institutional Securities Group ("ISG"), Global Wealth ... and executing on the department's strategy to enhance the risk control environment by leveraging emerging technology, automation, dashboarding etc. for efficient… more
- Citigroup (San Francisco, CA)
- The Investment Counselor Principal is a strategic professional who closely follows latest trends in own field and adapts them for application within own job and ... conduct and business practices, and escalating, managing and reporting control issues with transparency. **Qualifications:** + 15+ years of...S7, S66 (or 63 & 65) & S3; NOTE: Securities Industry Exam (SIE is a prerequisite to the… more