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They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions.
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The Compliance Advisor Senior Manager also assists the Broker Dealer CCO in keeping abreast of new and updated financial industry laws and regulatory requirements (e.g., FINRA, NASDAQ and SEC.
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Proven, foundational understanding of compliance regulations including anti-money laundering (AML), financial crimes and illicit financing (KYC), sanctions, and environmental, social and governance (ESG.
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Must have knowledge of derivative instruments including equity & index options and detailed understanding of options risk metrics, (delta, gamma, vega, etc.) Assist in reporting the interest rate risk position, including duration of equity, economic value of equity sensitivity, and earnings at risk.
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We invested in new offices, sector teams and practice groups including higher education; foundations; investor engagement; shareholder activism; governance; regulatory and public affairs, including geopolitical; crisis; litigation; social issues including climate change and diversity, equity and inclusion; cybersecurity, data and privacy; employee engagement; digital communications; opinion research and analysis, and creative services.
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Provides information and makes recommendations to the Chief Investment Officer (CIO), Investment Committee and Research Group of West Financial Services (WFS) on advisory service products and investment selection.
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The GFC Investigations Manager oversees investigative efforts, reviewing and approving financial crimes cases, in addition to ensuring the delivery of timely and accurate regulatory reporting.
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As a Risk Manager, you will lead projects to identify technical, functional, operational, and compliance risks, and drive projects to remediate issues, including technical and process fixes.
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In this role at FIO, you will develop policy on insurance-related issues, such as cyber insurance, climate-related financial risk in the insurance sector, macroprudential policy or regulation of the insurance sector, or terrorism risk insurance.
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Ensure security controls that can be inherited by other systems are set up for inheritance in the department's Governance Risk Compliance (GRC) tool and draft the control inheritance statements that can be used by other systems.
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The Legal Division’s safety-and-soundness unit provides legal advice to internal clients on a wide range of issues related to Freddie Mac as a business entity, including financial regulatory, compliance and risk management matters affecting the legal and business environment in which Freddie Mac and other financial institutions operate.
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Proven Student Success: 70% of our alumni have secured jobs at firms including Blackstone, Brookfield Properties, CBRE, Greystar, JLL, J.P. Morgan, KKR, and Wells Fargo, among others.
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West Financial Services (WFS) is currently recruiting for a WM Equity Analyst. The Equity Analyst is responsible for performing research and analysis on market trends and investment options.
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Strong preference for candidates with direct experience in IT / Cyber Governance, Risk and Compliance (GRC), IT Auditing, and / or performing Cybersecurity Maturity Assessments.
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The firm is internationally recognized for its representation of Fortune 500 companies in high-stakes litigation and government-facing matters, as well as its ongoing commitment to pro bono service and diversity, equity, and inclusion.
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equity and inclusion regulatory compliance risk financial crimes wells fargo jobs Title: sales consultant Company: Wells Fargo in Washington, DC
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