- TD Bank (New York, NY)
- …Trading & Sales teams and Desk Heads / Supervisors. + Understanding of key non- financial risk (eg, market, credit, operational ) concepts, controls and ... of employee conduct and of market, credit, underwriting, and operational risks. Specifically, GMS facilitates a sustainable First Line...also works with management / control function partners (eg Risk , Legal, Compliance , AML and Audit) to… more
- Wells Fargo (New York, NY)
- …for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational , Regulatory Compliance ), which includes effectively ... following: corporate and investment banking; capital markets; finance / controllers financial reporting; regulatory reporting; credit risk ; counterparty risk… more
- KeyBank (Amherst, NY)
- …Tiedeman Road, Brooklyn Ohio **About the Job** As part of Key's second-line-of-defense Compliance Risk Management function, the Risk Evaluation and Assurance ... The ideal candidate will have a functional knowledge of financial services operations, products, and/or compliance , strong...focusing on current, high impact wealth management and trust compliance and operational risks, and assessment of… more
- Wells Fargo (New York, NY)
- …for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational , Regulatory Compliance ), which includes effectively ... model behavior. + Meet deliverables while adhering to policies, procedures, and compliance requirements related to model risk management and regulatory… 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 ... , including but not limited to responsibilities under the Operational Risk Management Framework, Regulatory Compliance...+ At least four years of experience at a Financial Services Firm, Consulting Firm, or Regulatory agency such… 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 ... , including but not limited to responsibilities under the Operational Risk Management Framework, Regulatory Compliance...plus. + Ten plus years of experience at a Financial Services Firm, Consulting Firm, or Regulatory agency or… more
- Capital One (New York, NY)
- …underwrite new transactions. This role requires strong leadership, critical thinking, risk management, financial analysis, and relationship management skills to ... due diligence, risk assessment/mitigation + Drive process improvements to enhance operational efficiency and risk management practices. + Mentor and develop… more
- Wells Fargo (New York, NY)
- …for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational , Regulatory Compliance ), which includes effectively ... our focus on building strong customer relationships balanced with a strong risk mitigating and compliance -driven culture which firmly establishes those… more
- Citigroup (Getzville, NY)
- …these standards **Qualifications** : + Minimum of 5-8 years of experience in operational risk management, compliance , audit, or other control-related ... Enterprise Risk Management Framework and adherence with Risk Management and Compliance + Policies. +...+ Proven experience in control related functions in the financial industry. + Proven experience in implementing sustainable solutions… more
- Wells Fargo (New York, NY)
- …for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational , Regulatory Compliance ), which includes effectively ... experience, C++ is most relevant, with an emphasis on financial modeling and numerical optimization + 4+ years of...on building strong customer relationships balanced with a strong risk mitigating and compliance -driven culture which firmly… more