- M&T Bank (Baltimore, MD)
- …Manage the first line of defense risk management responsibilities of the Investment Bank and Institutional Broker-Dealer in accordance with the Enterprise Risk ... issues and the timely completion of remediation plans. Partner with the Investment Banking Executive and Leadership team on risk and control topics impacting… more
- JPMorgan Chase (Chicago, IL)
- Bring your expertise to JPMorganChase. As part of Risk Management and Compliance , you are at the center of keeping JPMorganChase strong and resilient. You help the ... impact our company, customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging the status quo and… more
- Securities and Exchange Commission (Washington, DC)
- …an office responsible for IT security examinations at SROs, broker-dealers, or investment advisers, conduct assessments of registrant compliance with applicable ... is responsible for conducting examinations of entities subject to Regulation Systems Compliance and Integrity (SCI). This program area also administers the SEC's… more
- Nanobiosym, Inc. (Cambridge, MA)
- …and corporate strategy. This individual must have a proven track record in investment banking, Wall Street finance, Big 4 audit, and executive-level leadership at ... including IPO readiness, secondary offerings, and private placements. + Public Company Compliance & Reporting: Oversee SEC filings, SOX compliance , and financial… more
- Robert Half Finance & Accounting (San Francisco, CA)
- …a critical role in supporting the Corporate Controller and Chief Financial Officer , contributing to the firm's financial reporting, compliance , and operational ... Description A privately held investment firm with a national footprint is seeking...financials, including waterfalls and asset management fees. + Ensure compliance with fund agreements and investor reporting requirements. +… more
- SMBC (New York, NY)
- …its relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients. It connects ... interacting with Debt Capital Markets (DCM), Equity Capital Markets (ECM), Investment Banking Group (IBG), Relationship Management Group (RMG) and Structured Finance… more
- Securities and Exchange Commission (Washington, DC)
- …an office responsible for IT security examinations at SROs, broker-dealers, or investment advisers, conduct assessments of registrant compliance with applicable ... for conducting examinations of entities subject to Regulation Systems Compliance and Integrity (SCI). This program area also administers...within 30 calendar days of the date of alleged non- compliance by contacting the Legal and Policy Office in… more
- US Bank (Minneapolis, MN)
- …administration, risk management and servicing of assigned fiduciary and investment management accounts. May include Relationship Management responsibilities as well ... and retention of existing accounts. Administers accounts in a manner which ensures compliance with the governing documents, state statutes and US Bank policies and… more
- KeyBank (Brooklyn, OH)
- …portfolios of projects, improvement efforts and strategic initiatives to ensure adequate investment in risk mitigation efforts in alignment with our risk tolerance ... action. + Manage 2nd LOD requirements related to the Governance, Risk & Compliance application and Risk Assessment Processes. + Other duties as assigned **REQUIRED… more
- JPMorgan Chase (Washington, DC)
- Bring your expertise to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan Chase strong and resilient. You help the ... customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging...200 years and today we are a leader in investment banking, consumer and small business banking, commercial banking,… more