- MUFG (New York, NY)
- …more details. **RESPONSIBILITIES:** + Coordinate the required deliverables to implement compliance with the Sound Practices to Operational Resilience, and ... Industry Regulatory Authority (FINRA), Federal Reserve, and the Sound Practices to Operational Resilience + Knowledge of technology infrastructure environments +… more
- Neuberger Berman (New York, NY)
- …firm/fund structuring, trading, valuation, portfolio accounting and fund administration, counterparty risk , technology , and compliance . The candidate should ... COO, CFO, GC/CCO, CTO) + Identify key areas of operational risk and ensure that the appropriate...practices and key events across several areas (eg regulatory, technology /systems, trading) while maintaining ownership of projects focused on… more
- Bank of America (New York, NY)
- …collaborative, and influential relationships with key regional stakeholders across Operations, Technology , FLU and Compliance * Drive execution improvements to ... Global Markets Non-Financial Regulatory Reporting (GM NFRR) Operational Monitoring New York, New York;Charlotte, North Carolina **To proceed with your application,… more
- TD Bank (New York, NY)
- …The successful candidate is willing to work hands-on to drive key initiatives across compliance , operational risk management, and audit functions, works well ... act as a trusted resource + Work closely with compliance , risk , operations, and technology ...RCSA.** + Minimum 7+ years of compliance risk management, enterprise risk management, operational… more
- TD Bank (New York, NY)
- …against industry practices. + With Risk , ensure that the Bank operates within the compliance risk appetite and that operational risk from a ... reporting across regional committees and boards (eg, surveillance metrics, operational issues, and related reporting). Provide the leadership team..."tone at the top" in support of a strong risk & compliance culture within Compliance… 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 ... and maintaining external and internal partnerships + Experience identifying and mitigating risk , ensuring compliance with processes and procedures + Excellent… more
- NBC Universal (New York, NY)
- …teams. + Assess scope and enhancement requests with a view toward ROI and compliance risk reduction. + Manage program metrics, dashboards, and reporting. + ... documentation of business and data landscapes to identify gaps related to compliance and operational controls across NBCUniversal frameworks. + Contribute to… more
- TD Bank (New York, NY)
- …US Compliance , we're on a mission to build a more resilient and scalable compliance risk management function. As part of our team, you'll play a key role ... Owners (own and operate controls to mitigate LRR risk ), and Technology , and with external partners...for integrating the third-party regulatory content provider into daily compliance and risk management activities, leveraging the… 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 ... this role:** Wells Fargo is seeking a Senior Lead Technology Business Systems Consultant to be part of the...on building strong customer relationships balanced with a strong risk mitigating and compliance -driven culture which firmly… more
- Marex (New York, NY)
- …under the SEC, FINRA, NFA, CFTC and other applicable exchanges. + Adhere to the operational risk framework for your role ensuring that all regulatory or company ... with a heavy regulatory aspect (eg operations, trade reporting, operational risk etc.) may also be considered....working in a regulated environment and knowledge of the risk and compliance requirements associated with this.… more
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