- 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
- US Bank (Charlotte, NC)
- …successful creation, implementation, and maintenance of an effective risk management framework covering activities within the retail broker dealers. ... At US Bank , we're on a journey to do our best....experience - Typically, more than 12 years of applicable risk management experience with Broker Dealer… 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
- 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
- Huntington National Bank (Detroit, MI)
- Description Job Title Broker -Dealer Accountant 3 Reporting to the Business Segment Controller, this position will play a vital role in the broker -dealer's ... provide a high level of visibility to various members of senior management across the organization. Primary Responsibilities: + Support accounting department in … 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 (Charlotte, NC)
- …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
- 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
- City National Bank (Jersey City, NJ)
- *MANAGER OF AUDIT SR- ENTERPRISE RISK MANAGEMENT * WHAT IS THE OPPORTUNITY? Responsible for managing complex audits and supervising auditors assigned to the audit ... bank 's financial and operational audits to assess the adequacy of the banks accounting and operating control environment. Wealth management and fiduciary… more