- American Express (New York, NY)
- …methodology used to identify, assess, document risks & Controls to mitigate operational risk . Providing escalation support and corrective action plans when ... for colleagues across moments that matter + **Operations** : Operational excellence to deliver enterprise value, accelerate time to...the position, not a day-to-day activity. + Develop initial compliance plan and risk register + Define… 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 ... Director, Financial Institutions Group, NBFI (Insurance) **Requisition ID:** 215727..., including but not limited to responsibilities under the Operational Risk Management Framework, Regulatory Compliance… more
- M&T Bank (Buffalo, NY)
- …on observable breaches in Corporate Risk policies. + Adhere to applicable compliance / operational risk controls in accordance with Company or regulatory ... to Finance / Audit / SOX to ensure accurate Financial Statements in accordance with GAAP. + Gather and...changes in process or accounting requirements with input from Operational Accountants II, III, IV or Manager. + Adhere… more
- M&T Bank (Getzville, NY)
- …on observable breaches in Corporate Risk policies. + Adhere to applicable compliance / operational risk controls in accordance with Company or regulatory ... to Finance / Audit / SOX to ensure accurate Financial Statements in accordance with GAAP. + Gather and...changes in process or accounting requirements with input from Operational Accountant III, IV or Manager. + Participate in… more
- Wells Fargo (New York, NY)
- …for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational , Regulatory Compliance ), which includes effectively ... complex business units, rules and regulations on moderate to high risk compliance matters. + Monitor and independently challenge the reporting, escalation, and… more
- Marex (New York, NY)
- …Securities Exchanges, and other applicable regulatory organizations. + Adhere to the operational risk framework for your role ensuring that all regulatory ... and DMA, plus award-winning data, insights and analytics. In the ever-evolving financial landscape, Compliance has become increasingly complex. Marex must… more
- Marex (New York, NY)
- …SEC, FINRA, MSRB, and other regulatory rules and regulations. + Adhere to the operational risk framework for your role ensuring that all regulatory or company ... and DMA, plus award-winning data, insights and analytics. In the ever-evolving financial landscape, Compliance has become increasingly complex. Marex must… 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 ... and Experience + At least 5 (five) years of financial services advisory or compliance management experience,...working in a regulated environment and knowledge of the risk and compliance requirements associated with this.… 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 ... and DMA, plus award-winning data, insights and analytics. In the ever-evolving financial landscape, Compliance has become increasingly complex. Marex must… more
- Capital One (New York, NY)
- …addition of the network line of business + Demonstrate strong understanding of Compliance Risk Management Framework and applicable laws and regulations + Play ... analyzing compliance data, interpreting it to ensure consistency and adequate Compliance Risk Management + Manage several key reporting activities + Ensure… more
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