COMPLIANCE OFFICER SENIOR-REGISTERED INVESTMENT ADVISOR WHAT IS THE OPPORTUNITY? The Senior Compliance Officer... time management skills and be accustomed to working with deadlines. Certified Regulatory Compliance Manager (CRCM...
Application Deadline: 03/02/2025 Address: 151 W 42nd Street Job Family Group: Audit, Risk & Compliance... Fixed Income Compliance team in New York with a focus on FINRA and SEC broker-dealer requirements and corresponding...
and regulations. Assist the Compliance Manager, Senior Compliance Officer, and Risk Assessment team with the evaluation of compliance... QA testing results. Work with Senior Compliance Officer, Compliance Manager to maintain audit tracking logs...
and regulations. Assist the Compliance Manager, Senior Compliance Officer, and Risk Assessment team with the evaluation of compliance... QA testing results. Work with Senior Compliance Officer, Compliance Manager to maintain audit tracking logs...
Chief Compliance Officer, the Executive Committee and Senior Management · Track and monitor issues identified from the... and Monitoring Officer Contract type Permanent Contract Job summary Summary: Under supervision of the Head of Compliance...
communicate testing results to stakeholders which may include the Chief Compliance Officer, the Executive Committee and Senior... for Testing Unit Manager's review and approval · Carry out and document compliance monitoring activities, as planned / scheduled...
Trading Risk Management | Market Risk Manager & Product Controlle | Vice President| New York City About ING: Crain... that supports the underwriting of ABS performed in capital markets. The role offers an exciting opportunity within TRM New York...
Trading Risk Management | Market Risk Manager & Product Controlle | Vice President| New York City About ING: Crain... that supports the underwriting of ABS performed in capital markets. The role offers an exciting opportunity within TRM New York...
Operational Risk and Resilience (CM ORR) group. As part of the Capital Markets Office of the Chief Operating Officer (CM OCOO... most senior executives, including drafting communications and running calls and meeting. Ability to represent Capital Markets...
aligned with the priorities of Capital Markets senior leaders. Your key responsibilities include managing and implementing.... Opportunity: Operate within the Capital Markets Chief Operating Officer’s group. Provide vision to drive strategic business...
of expertise. Excellent communication skills required in order to negotiate internally, often at a senior level. Developed... of repayment. Prepare monthly and/or quarterly reviews of existing borrowers in order to track compliance with various loan...
? We are looking for someone for the following: The compliance officer will oversee a team responsible for coverage of the Equities & Equity Derivatives..., Central Risk Book, Exchange Traded Funds and Program Sales Trading & the UBS ATS. The compliance officer...
culture. Sr. Manager, Global AML US Cash Management - Systems and Data Oversight - New York, NY Global Transaction Banking...: The Sr. Manager, Global AML US Cash Management - Systems and Data Oversight, contributes to the overall success of the...
culture. Sr. Manager, Global AML US Cash Management – Systems and Data Oversight - New York, NY Global Transaction Banking...: The Sr. Manager, Global AML US Cash Management – Systems and Data Oversight, contributes to the overall success of the...
Job Code: BVF Evergreen Job Summary: The VP/Regional Sales Manager (Factoring Business Development Officer... proposals and documents for/with prospective clients Cultivate and maintain relationships with senior team members...
The Business Development Officer is a strategic professional who closely follows latest trends in own field and adapts... to negotiate internally, often at a senior level. Some external communication is typically required. Provides advanced judgment...
FINANCIAL CRIMES ANALYST SENIOR I WHAT IS THE OPPORTUNITY? Under the direction of the BSA Risk Manager..., this colleague is responsible for carrying out regulatory/compliance issuance monitoring, risk assessments, and internal controls...
. Find your place in risk and analytics on #TeamAmex. The Global Risk & Compliance Organization (“GRC”) is an independent risk... management function, led by the Chief Risk Officer, with the objective of ensuring that American Express operates in a safe...
Leveraged Finance Credit Risk Manager on requests from Senior management, Credit Review/Audit and regulators. Assess financings.... Citigroup’s Banking Capital Markets & Advisory (BCMA) group acts as lead arranger for many of these issuers. Citi’s Leveraged...