- SMBC (Jersey City, NJ)
- …a competitive portfolio of benefits to its employees. **Role Description** This Finance Control oversight (FCO) Vice President (VP) role will support the review ... opportunities for improvement. + Support the bank-wide coordination of the Risk and Control Self-Assessment (RCSA) and Key Reporting Indicator (KRI) process in… more
- TD Bank (New York, NY)
- …details for this role. **Job Description:** **Preferred Qualifications:** We are looking for a Vice President, US Markets Compliance Advisory to join our team in ... experience in the investment banking space, preferably in an advisory capacity. The Vice President will assist...strategic advice and guidance to front office and relevant control functions regarding (i) public and private offerings of… more
- NatWest Markets (Stamford, CT)
- US Operations Oversight & Advisory , Vice President Stamford,United States Permanent Full Time \#R-00252575 Our people work differently depending on their jobs ... with our Operations Service Providers, Front Office, Business Management, Client Management, Risk & Control , and COO teams to respond to change,marketand… more
- MUFG (Irving, TX)
- …escalation of client or control issues to the Global Head of AML Advisory . + May assist with the creation and development of relevant global AML training ... s/he will report to the Global Head of AML Advisory . As an AML/FCC subject matter expert on payments...engages with relevant operations teams to support their AML risk -management efforts, providing subject matter expertise on in-scope products… more
- MUFG (Irving, TX)
- …AML risk and the appropriate ways to effectively mitigate or escalate AML risk . + Suggest improvements to the AML control process that increase the processes ... for AML/BSA compliance for MUFG. **Responsibilities** + Provides full advisory services to First and Second Lines of Defense...Second Lines of Defense on all applicable money laundering risk , to including but not limited to the Bank… more
- Raymond James Financial, Inc. (New York, NY)
- …information and decisions. Take responsibility for developing and delivering the organization's risk management and/or risk control policies and procedures. ... Lead the development of policies, procedures, and related guidelines for a significant area of responsibility, ensuring compliance with external requirements and integration with the broader corporate policy framework. Represent the organization or institution… more
- HSBC (New York, NY)
- …a broad remit and responsibilities, which include but are not limited to: As our Vice President Compliance Risk Steward Regulatory Reporting you will: + Foster a ... proper filings with regulatory entities + Serve as RC advisory point of accountability for all regulatory reporting filings...risk stewards and GB/GFs for RC Regulatory Reporting risk and control application, for example, provide… more
- BlackRock (New York, NY)
- …is realized through four distinct yet interconnected operating pillars: Risk Advisory , Assessment & Reporting, Technology Control Standards, and Risk ... Engineering teams, ensuring a unified and comprehensive approach to risk management and control . The team's mission...standards forward. In this role, you will be a risk member of the Technology Control Standards… more
- Bloomberg (New York, NY)
- …First Line of Defense (FLOD) risk execution and partnering on Risk Control Self-Assessment (RCSA) training efforts + Successfully challenge FLOD on ... and Compliance, Finance, Operational Resilience, and Internal Audit, to provide centralized risk frameworks, processes, tools, training and advisory services to… more
- Wells Fargo (San Francisco, CA)
- …Fargo Securities (WFS) is seeking an experienced investment banking professional - at the Vice President level - to join our San Francisco office and the Tech M&A ... professionals focused on providing a full array of strategic advisory services to Wells Fargo's client base in targeted...industry dynamics) to provide relevant advice. + Maintain quality control on all work product generated by deal team.… more