- JPMorgan Chase (New York, NY)
- 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 ... impact our company, customers and communities. Our culture in Risk Management and Compliance is all about...be best-in-class. As a Lead Credit Officer on the Banks and Broker Dealers team, you will… more
- Citigroup (New York, NY)
- …partnership with BCMA and Risk . This role will report to the NAM/WE Banks & Broker Dealers Head. **KEY RESPONSIBILITIES:** Executes, aligned with global and ... Services (TTS), Markets, and Securities Services (Services). The NAM Banks & Broker Dealers Credit Underwriter ("NAM...experience + Experience in and exposure to global credit risk management standards + Ability to understand… more
- Motion Recruitment Partners (Jersey City, NJ)
- …to review documents and statements. + Experience monitoring and governing third party risk management / broker dealers. **Desired Skills & Experience** + ... - $89/hr Grow your career with an innovative global bank in Jersey City, NJ as a Strategic Project...week. Join one of the world's most renowned global banks and trusted brand with over 200 years of… more
- M&T Bank (Baltimore, MD)
- …first line of defense risk management responsibilities of the Investment Bank and Institutional Broker -Dealer in accordance with the Enterprise Risk ... planning, execution, and reporting of the business unit's first line of defense risk management function including ensuring the documentation of key processes… more
- M&T Bank (Boston, MA)
- …Procedures (WSPs), Desktop Procedures, Firm Controls, and MTS procedures utilized by M&T Bank Risk and Internal Audits + Participate in drafting related policies ... **Overview:** Responsible for contributing to and supporting the broker dealer compliance program for M&T Securities, Inc....accordance with the Company's Risk Appetite. Identify risk -related issues needing escalation to management . +… more
- Charles Schwab (Westlake, TX)
- …Testing, Reg YY. * Demonstrated detailed knowledge of finance and knowledge of liquidity risk management at a broker dealer. * Regulatory financial ... liquidity and funding planning across the corporation and its subsidiaries, including our bank and broker -dealers. We monitor and ensure adherence to regulatory… more
- Citizens (Stamford, CT)
- …Management with an independent and objective view of the effectiveness of the bank 's control environment, risk management practices, and culture. The ... Asset Based Lending, Asset Finance (Leasing), Swap Dealer, Market Risk Oversight, and Model Risk Management...team to support the assessment of market and model risk across bank businesses. + Execute certain… more
- Marex (Houston, TX)
- …as required + To escalate risk events immediately + To provide input to risk management processes, as required. The Company may require you to carry out ... some of the largest commodity producers, consumers and traders, banks , hedge funds and asset managers. With more than...Purpose of Role: Marex is seeking a Fuel Oil Broker who is an experienced, ambitious, and proactive individual,… more
- Principal Financial Group (Des Moines, IA)
- …join our legal team to lead regulatory examinations, and to assist our retail broker -dealer with its legal needs. This attorney will partner with the business units, ... You will also provide day-to-day support to Principal's dually-registered retail broker -dealer and investment adviser, Principal Securities. In this role, you'll… more
- Marex (Houston, TX)
- …as required. + To escalate risk events immediately. + To provide input to risk management processes, as required. The Company may require you to carry out ... some of the largest commodity producers, consumers and traders, banks , hedge funds and asset managers. With more than...under the applicable regulators. + Adhere to the operational risk framework for your role ensuring that all regulatory… more