- American Express (New York, NY)
- …role?** The Credit Risk Oversight organization within Global Risk and Compliance (GRC) is responsible for independently overseeing and challenging the company's ... credit risk taking and credit risk management...Credit Risk Oversight organization within Global Risk and Compliance (GRC) is responsible for independently overseeing and challenging… more
- Wells Fargo (New York, NY)
- …They are accountable for execution of all applicable risk programs ( Credit , Market, Financial Crimes, Operational, Regulatory Compliance ), which includes ... of a background check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange...and are required to report certain incidents. + Specific compliance policies may apply regarding outside activities or personal… more
- Wells Fargo (New York, NY)
- …They are accountable for execution of all applicable risk programs ( Credit , Market, Financial Crimes, Operational, Regulatory Compliance ), which includes ... appropriate FINRA license(s) is required for ongoing employment in this position. Compliance with state law registration and licensing requirements is mandatory. In… more
- Wells Fargo (New York, NY)
- …They are accountable for execution of all applicable risk programs ( Credit , Market, Financial Crimes, Operational, Regulatory Compliance ), which includes ... of a background check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange...and are required to report certain incidents. + Specific compliance policies may apply regarding outside activities or personal… more
- Wells Fargo (New York, NY)
- …They are accountable for execution of all applicable risk programs ( Credit , Market, Financial Crimes, Operational, Regulatory Compliance ), which includes ... implementing pricing, risk, and analytics models, supporting regulatory and compliance requirements and collaborating with traders, quants, product and other… more
- Wells Fargo (New York, NY)
- …They are accountable for execution of all applicable risk programs ( Credit , Market, Financial Crimes, Operational, Regulatory Compliance ), which includes ... of a background check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange...and are required to report certain incidents + Specific compliance policies may apply regarding outside activities or personal… more
- Wells Fargo (New York, NY)
- …They are accountable for execution of all applicable risk programs ( Credit , Market, Financial Crimes, Operational, Regulatory Compliance ), which includes ... Support to business, LOB Legal and other functions, including compliance and controls + Regulatory advice on business and...+ Prior experience in advising on legal, regulatory, and compliance issues for a financial services firm. + Ability… more
- Wells Fargo (New York, NY)
- …They are accountable for execution of all applicable risk programs ( Credit , Market, Financial Crimes, Operational, Regulatory Compliance ), which includes ... + Work directly with the business, LOB Legal and other functions, including compliance and controls + Provide regulatory advice on business and product development… more
- Wells Fargo (New York, NY)
- …They are accountable for execution of all applicable risk programs ( Credit , Market, Financial Crimes, Operational, Regulatory Compliance ), which includes ... plans. Maintain all system diagrams, system interface charts and any other compliance policy and procedure documents. Work closely with quality assurance on the… more
- Wells Fargo (New York, NY)
- …They are accountable for execution of all applicable risk programs ( Credit , Market, Financial Crimes, Operational, Regulatory Compliance ), which includes ... FX payments + A sound grasp of risk and compliance as related to large global clients, including minimally...position is not eligible for Visa Sponsorship + Specific compliance policies may apply regarding outside activities and/or personal… more