- HUB International (New York, NY)
- …limited purpose FINRA Broker-Dealer: The Deputy Chief Compliance and Risk Officer , will be a highly visible, senior leadership position, reporting directly ... into the Global/Executive Chief Compliance and Risk Officer , working closely with RPW senior leadership to collectively support the growing RPW business… more
- Citigroup (New York, NY)
- …and managing various types of risk including market, credit, and operational risk . + Self-motivated with strong project management skills and ability ... Individuals in Finance Risk are entrusted with corporate oversight tasks such...of reliable results. + Communicate analytical insights effectively to senior stakeholders, management, regulators, and Internal Audit + Contribute… more
- KeyBank (NY)
- …institution laws and regulations, as applicable. + Collaborate with the Chief AML Officer , Financial Crimes Risk Management Directors, and other stakeholders on ... THE JOB** Responsible for execution and support of Financial Crimes Risk Management Anti-Money Laundering (AML) Enterprise Team activities, including facilitation of… more
- SMBC (New York, NY)
- …management. Expertise in model risk , credit risk , market risk , liquidity risk and or operational risk management expertise is a plus. + Strong ... a competitive portfolio of benefits to its employees. **Role Description** The Director, Sr . Regulatory Officer works with the Regulatory Relations team to… more
- MUFG (New York, NY)
- …+ Risk Event Losses + Identify/Report/Track Risk Events and Report to Operational Risk Management (ORM) Team + Monitor and evaluate emerging risk , ... member of our recruitment team will provide more details. Risk and control officer will be responsible...and board level committees + Assist in sustaining the operational risk and control framework and ensuring… more
- Citigroup (New York, NY)
- Serves as a senior function/business/product compliance risk officer covering North American Cash Equities Sales and Trading businesses. The role is ... to prevent violations of law, rule, or regulation and design and delivery of a risk management framework that maintains risk levels within the firm's risk … more
- Citigroup (Getzville, NY)
- …activities thus improving identification and remediation of significant control issues and operational risk events in a timely manner. **Responsibilities** : + ... : + Minimum of 6-10 years of experience in operational risk management, compliance, audit, or other...skills, with a demonstrated ability to engage at the senior management level. + Strong problem-solving and decision-making skills… more
- Raymond James Financial, Inc. (New York, NY)
- …and tolerance to include daily risk monitoring across all relevant risk stripes including market, credit, liquidity and operational risks. . Identifies ... risk management strategies to the Board of Directors, senior management and various risk committees. . Collaborates with the business and other key… 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 ... information visit www.marex.com (http://www.marex.com/) Purpose of Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who will provide… 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 ... services. For more information visit www.marex.com (http://www.marex.com/) Purpose of Role: The Senior Compliance Officer - Fixed Income Advisory will provide… more