- Raymond James Financial, Inc. (New York, NY)
- …include daily risk monitoring across all relevant risk stripes including market, credit , liquidity and operational risks. . Identifies emerging risks and advises on ... of duties . Relevant risk-based regulatory schemes including Basel I and Basel II and current rules under review . Sarbanes Oxley regulations . Software development… more
- MUFG (New York, NY)
- …Control personnel to determine MSIIs / audit points. Assist the broker dealer entity in correctly Identifying the overall issue owner, deliverables and milestones, ... updates + Assist in identifying data risks in RCSAs across the broker dealer entity (adhoc risk / controls reviews, group self-assessments, and controls testing) +… more