- MUFG (Tempe, AZ)
- …for a Credit Examiner to provide a comprehensive assessment of enterprise-wide risk management practices. You will evaluate, monitor, and report on the quality ... of risk assets and effectiveness of the Bank's processes to...identify deterioration or negative management control trends and review compliance with policies, guidelines, and regulations. + Prepare periodic… more
- TD Bank (New York, NY)
- …multiple sources (eg, order management systems, execution platforms, and market data feeds). + Regulatory Compliance & Risk Management: Ensure TDS meet ... with TDS Chief Data Officer (CDO), Data and Delivery Initiatives (DDI) team, Compliance Technology, First-Line Risk and Control, and Front Office Technology to… more
- SMBC (New York, NY)
- …in trading strategies. * Regulatory Compliance : Understanding of regulatory requirements and risk management practices in financial trading. **Additional ... Risk Management: Apply advanced mathematical and statistical techniques to manage risk and ensure compliance with regulatory requirements. *… more
- Capital One (Mclean, VA)
- …of moderate complexity with more than one component, including finance , IT, compliance , credit, security. + Provide risk management advice and counsel to ... knowledge of payments network operations and ecosystem related risks, as well as risk management and regulatory expectations for a large financial institution.… more
- Raymond James Financial, Inc. (Pittsburgh, PA)
- …internal control practices. + Coordinate with the Enterprise Risk and Compliance Departments to align controls that address regulatory feedback and support ... System and Organizational Controls (SOC) audits, partners with Enterprise Risk and Finance in the execution of...related field. + 3+ years of experience in operational risk management, internal controls, compliance , and/or internal… more
- Capital One (Riverwoods, IL)
- …of moderate complexity with more than one component, including finance , IT, compliance , credit, security. + Provide risk management advice and counsel to ... knowledge of payments network operations and ecosystem related risks, as well as risk management and regulatory expectations for a large financial institution.… more
- Citizens (Westwood, MA)
- …improvement initiatives and promote automation to streamline workflows. Risk & Compliance + Ensure adherence to regulatory requirements and internal policies ... & Risk Management + Oversee Regional Supervisory Officers (RSOs) and ensure compliance with regulatory and internal standards. + Lead quality assurance and… more
- Raymond James Financial, Inc. (Denver, CO)
- … compliance reviews. + Fraud typologies, detection methods, and regulatory reporting requirements. + Fraud surveillance systems, case management tools, and ... analysts. The ideal candidate will demonstrate strong investigative skills, regulatory knowledge, and leadership acumen, and will serve as...+ Serve as an escalation point for complex or high- risk alerts and investigations. + Assist the Manager in… more
- Arizona Public Service (Phoenix, AZ)
- …to derive actionable insights, identify trends, and support decision-making processes. + Compliance & Regulatory Monitoring: Ensure models adhere to relevant ... + Documentation & Reporting: Prepare and review comprehensive documentation for regulatory filings, compliance reports, and internal decision-making purposes.… more
- TD Bank (Mount Laurel, NJ)
- …relationship management + Deep understanding of regulatory compliance and risk management in the finance industry + Strong technology acumen, comfortable ... role will also lead first-line engagement and activities with Compliance and Legal with respect to Office of Supervisory...requirements. This role will lead engagement with HR and Finance to ensure alignment across job families, entitlements, and… more