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Act as a liaison between the internal trading desk and their supporting functions such as Investment Operations, Risk and Compliance, and Technology to resolve issues that may arise.
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Assist CNS Management with performing operational risk management activities including reporting key risk indicators (KRIs), third party risk assessments, and risk and control self-assessments (RCSAs.
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Evaluating the performance of investment portfolios and ensuring compliance with standards provided by regulatory organizations, including conformance with investor disclosures, privacy laws, anti-money laundering requirements, and anti-fraud measures.
$140,000 - $190,000 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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Be a Collaborative Member of the Team – this requires you to establish and maintain strong collaborative relationships with cross functional teams, including legal, risk, compliance, underwriting, client services, product development, information technology, corporate governance, finance, accounting, claims, human resources, and third-party risk management.
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The Affordable Housing Compliance Specialist will be responsible for supporting the Asset Management team in the day-to-day administration of all Asset Management projects, policies, and procedures with a specific focus on managing all affordable compliance and reporting for BLVD’s affordable portfolio consisting of both Section 8 and LIHTC properties.
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B. Riley operates through several subsidiaries that offer a diverse range of complementary end-to-end capabilities spanning investment banking and institutional brokerage, private wealth and investment management, financial consulting, corporate restructuring, operations management, risk and compliance, due diligence, forensic accounting, litigation support, appraisal and valuation, auction and liquidation services.
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We are looking for a Chief Information Security Officer (CISO) who will be responsible for providing executive leadership managing data and information risks related to product development, technology solutions, crisis management, governance risk, compliance and data privacy.
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Monitor and manage financial risks, including interest rate risk, foreign exchange risk, and credit risk, through hedging and other risk management techniques.
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Responsibility in creating and maintaining Security related documentation as directed by the CISO, Director of EA&SD and Security Manager of Governance, Risk and Compliance or the associated project team.
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Minimum of 7 years of experience in top tier, global capital markets or investment management firms with experience in Treasury Operations, Cash Management, and/or Accounting.
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Perform extensive investment research utilizing industry standard technology to analyze investment risk and performance across a variety of sectors. Prepare reports to evaluate and monitor investment risk, performance, and fees.
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The Leveraged Finance platform at Nuveen applies a collaborative and team-based approach to rigorous fundamental underwriting across the capital structure and risk spectrum, from higher quality non-investment grade to distressed situations.
$150,000 - $205,000 a yearFull-timeExpandApply NowActive JobUpdated 12 days ago - UpvoteDownvoteShare Job
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Reporting to the Director, Technology Strategy within Group Risk Management Enterprise Resilience Risk (ERR), you will drive the Second Line of Defense engagement across all Regulatory Examinations and Regulatory Issue Issues Remediation.
$110,000 - $190,000 a yearFull-timeExpandApply NowActive JobUpdated 17 days ago - UpvoteDownvoteShare Job
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Proactive and inquisitive about markets, financial theory, investment management industry. Kayne Anderson Rudnick Investment Management (KAR) a Registered Investment Advisor based in Los Angeles, is currently searching for a Trade Support Associate.
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Communicate information factually and effectively to Security Management, Law Enforcement, and Risk Management when necessary (Verbally or Written). Tao Group Hospitality is part of Mohari Hospitality, an investment firm focused on the luxury lifestyle and hospitality sectors.
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risk and compliance investment management jobs Title: part time Company: Wells Fargo Bank in Los Angeles, CA
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