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Risk; HR; IT; Finance; Operations and the wider Compliance function. Role Responsibilities * Ensure the Firm meets its obligations pursuant to key regulations related to equities trading, including ...

The Analyst works with Head, FIU and with FIU Analyst Level 1 to maintains quality performance within the Compliance Department, and ensures proper regulatory reporting and risk mitigation, while ...

The Office leads US oversight of programs which contribute to the uplift of the Firm's capabilities across multiple lines of defense working in partnership with global Businesses, Risk, Compliance ...

Oversee the work of Assistant and Senior Counsels within the Executive Chamber on all matters relating to litigation, investigations, ethics, risk, compliance, procurement, contracting, employment ...

Collaborate with Risk, Compliance, Audit, and IT teams to identify needs and translate these into product improvements, bridging technical requirements and client expectations. * Regularly ...

Collaboration: Work with risk, compliance, IT, and governance teams. Communicate insights to stakeholders and provide training. Qualifications: * Bachelor's in Data Science, Statistics, Risk ...

Monitor daily transactions to detect unusual activity, potential fraud, and compliance violations ... Prepare detailed risk reports and present findings to management. Qualifications: - Experience: 2+ ...

Ensure compliance with relevant laws, regulations, and industry standards. * Establish and maintain risk management policies and procedures. * Provide regular risk reports to the executive team ...

Looking for a Third-Party / Vendor Risk Management (VRM) Specialist for a global financial services ... Compliance & AML: * Perform daily role in line with the Company's policies, procedures, WSPs and in ...

... Risk, Compliance, and other stakeholder groups. Core Responsibilities 1. Business Support, Strategy, Prioritization, and Implementation: * Provide support to Fidessa and various equity products ...

... compliance • Document key process hierarchy and 3rd party dependency by FLU • Document ... risk framework excellent written and verbal communication skills • strong negotiation and ...

Experience in technology audit, governance, risk, and compliance, information security, or related field is preferred, and willingness to learn is required * Experience working in a cloud environment ...

Prescreen credit applications before a new business meeting with regards to compliance to internal and regulatory credit risk standards. Assign risk rating for all existing and proposed exposures ...

Business risk experience. * Senior Role: 8 to 12 years of business risk experience. * Junior Role ... Act as a SME in respect to the Volcker Rule and ensuring compliance with the relevant standards and ...

Daily interaction with business management, operations, finance, and risk, providing compliance advice * Maintenance and filing of SEC Forms, including ADV Part 1, Part 2A, Form PF and related ...

Dow Jones Newswires, Factiva, and Risk & Compliance. The team runs a client centric approach focused on industries and accounts developing and activating strategies and campaigns that drive awareness ...

Collaborate with Compliance and Risk teams to support audits, exams, and the CMS enhancement project plan. * Track and report on compliance issues through a managed "issue management" function

Risk Management * Identify and assess compliance risks within warehouse operations and develop strategies to mitigate them. * Work with legal and compliance teams to address regulatory risks and ...

... risk. Over its history, the firm has applied a disciplined, repeatable, and scalable approach in ... We are looking for an experienced compliance professional who will take on an integral role in ...

Prepare and analyze trading data for Key Risk reporting and respond to Internal Audit requests ... compliance or legal departments. * Has the ability to operate with a limited level of direct ...

The Risk Management Associate will be responsible for day-to-day risk assessment, monitoring, and mitigation strategies to ensure the company's financial security and compliance with regulations. If ...

Contributing to the annual risk assessment plan with Compliance teams to identify potential compliance issues across the organization * Overseeing the Regulatory Compliance Operations unit in ...

... compliance with the sound operation of both business and regulatory requirements * Ensure a proper storage of all model documentation Other Responsibilities The Risk Division in New York is ...

Provides high-level administrative and operational support to Ratings Compliance & Risk senior leadership, including specific support for the DCO - Americas & EMEA, managing day-to-day activities in ...