- 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
- 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
- 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
- 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
- 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
- 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
- Wells Fargo (Iselin, NJ)
- …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
- 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
- Wells Fargo (New York, NY)
- …third party performance and compliance issues, and/or escalate the issue, per the Operational Risk and Compliance Escalation policy + Third Party Risk ... compliance issues, and/or escalate the issue, per the Operational Risk and Compliance Escalation...Value Diversity** At Wells Fargo, we believe in diversity, equity and inclusion in the workplace; accordingly, we welcome… more
- Neuberger Berman (New York, NY)
- …hedge fund and private equity ), sales distribution and supervision, UCITS governance, Compliance , operational , risk and performance audits + Work closely ... controls, and recommend business efficiency opportunities + Evaluate the integrity of operational data and compliance with established policies and procedures… 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 , AML/ATF risk ... and conduct risk , including but not limited to responsibilities under the Operational Risk Management Framework, Regulatory Compliance Risk … more
