- Marex (New York, NY)
- Diversified. Resilient. Dynamic. Marex is a global financial services platform, providing essential liquidity, market access and infrastructure services to ... areas. Our other teams work enterprise-wide to provide critical services including our global service desk, network...risk framework for your role ensuring that all regulatory or company determined parameters are complied with. +… more
- TD Bank (New York, NY)
- …degree required + 10+ years related experience required + In-depth knowledge of financial services , regulatory industry practices + In-depth knowledge of ... for monitoring and testing by 2nd line including compliance risk and controls + Works with other second and...banking experience or are just starting your career in financial services , we can help you realize… more
- PNC (New York, NY)
- …execution of business and functional strategies and initiatives to achieve desired service and budgetary results within the risk appetite. Drives improvements ... Fair Enforcement for Mortgage Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring of… more
- JPMorgan Chase (Brooklyn, NY)
- …equivalent experience required. + Minimum of 7 years of financial service experience in controls, audit, quality assurance, risk management, or compliance. ... a robust escalation framework. + Execute and deliver against regulatory commitments and firmwide programs. + Deliver appropriate messaging...Capabilities, and Skills:** + Experience in financial services with a focus on controls and risk… more
- Regions Bank (Great Neck, NY)
- …of and ensures compliance with internal bank commercial loan policy, credit risk management policy, and external regulatory requirements and documents any ... law. Such information will be stored in accordance with regulatory requirements and in conjunction with Regions' Retention Schedule...as risk factors that could change the risk rating, analysis of financial performance, performance… more
- Bloomberg (New York, NY)
- …Privacy - Legal & Compliance Location New York Business Area Legal, Compliance, and Risk Ref # 10043072 **Description & Requirements** The energy of a newsroom, the ... complex issues that come with being the world's leading financial news and information company. Our team is made...implement global training and communication programs and monitor privacy risk across the business. Our team also leads privacy… more
- KeyBank (Amherst, NY)
- …analytical tools. The ideal candidate will have a functional knowledge of financial services operations, products, and/or compliance, strong technical data ... Road, Brooklyn Ohio **About the Job** As part of Key's second-line-of-defense Compliance Risk Management function, the Risk Evaluation and Assurance Program (the… more
- Santander US (New York, NY)
- …**Your Journey Starts Here:** Santander is a global leader and innovator in the financial services industry. We believe that our employees are our greatest ... to help ensure operations comply with laws and other regulatory provisions and contractual obligations. + Drafts, reviews, negotiates,...Required. 5+ years of experience practicing law in a financial services firm, bank, or law firm… more
- Wells Fargo (New York, NY)
- …for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following ... our ability to partner and deliver excellent quality and service to our trading and sales partners as our...developing and implementing quantitative models and tools for **Equities** risk management, trading, and pricing with focus on areas… more
- Navient (Albany, NY)
- …plus. + 1-2 years of experience conducting compliance testing routines & supporting consumer financial services & products. **Where:** + This role will be based ... frameworks by contributing to policies, procedures, and training materials aligned with regulatory best practices. + Lead risk assessments and compliance… more