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Ensures the compliance of the Non-Trading Market Risk and Liquidity Risk management processes with both US and OSFI regulations, including Dodd-Frank's Volcker and Enhanced Prudential Standards.
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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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Experience with a widely-used investment portfolio management and data reporting tool such as Dynamo, Blackrock Aladdin/eFront, Bloomberg, Solovis, Caissa/Burgiss, and/or FactSet to measure the performance and risk of portfolios and to assist with the monitoring of current and prospective investments is required, although Dynamo-specific experience is not.
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Holds experience in delivering Risk and Compliance management services for a client based delivery environment. Assist in compliance initiatives at function and organizational levels in areas of Information security and Risk Management.
ExpandApply NowActive JobUpdated 24 days ago - UpvoteDownvoteShare Job
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In-depth experience with Managed Accounts, Corporate Actions, Securities Lending, Collateral Management, Proxy Voting, Class Actions, Trading & Trade Settlement, Global Markets & Foreign Exchange, GIPS and Investment Performance, Investment Compliance, Risk Management, Vendor Management, Project Leadership, and Product Ownership.
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Provide oversight of the Non-Trading Market Risk management, including independent reviews of key assumptions and model usage, hedging effectiveness and strategies, investment portfolio, and non-trading market risk framework and policy.
$115,000 - $190,000 a yearFull-timeExpandApply NowActive JobUpdated 23 days ago - UpvoteDownvoteShare Job
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The Ethics and Compliance Risk Assessment and Management Sr. Analyst (“RAMSA”) will assist the TINA Ethics & Compliance Team with that further the mission, plan, strategic initiatives, and operational priorities of ethics and compliance within TINA and among the respective TINA and TICO Group Companies.
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Lead a team of compliance professionals responsible for conducting risk-based reviews and testing of key controls and processes across the investment bank, Sales & Trading, Broker-dealer, and swap dealer functions.
$160,000 - $185,000 a yearFull-timeExpandApply NowActive JobUpdated 23 days ago - UpvoteDownvoteShare Job
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The Sarbanes-Oxley (SOX) Control and Compliance Manager will lead the Company's internal controls program, perform regulatory compliance audits as needed, and support the Company's Environmental, Social and Governance (ESG) and Enterprise Risk Management (ERM) programs.
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Actively pursue effective and efficient operations of his/her respective areas, while ensuring the adequacy, adherence to and effectiveness of day-to-day business controls to meet obligations with respect to operational risk, regulatory compliance risk, AML/ATF risk and conduct risk, including but not limited to responsibilities under the Operational Risk Management Framework, Regulatory Compliance Risk Management Framework, AML/ATF Global Handbook and the Guidelines for Business Conduct.
$85,700 - $159,100 a yearFull-timeExpandApply NowActive JobUpdated 26 days ago - UpvoteDownvoteShare Job
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The GIA and VA Asset Modeling & Development team of Quant R&D has primary responsibilities for modeling all of the GIAs assets, ensuring and maintaining critical Portfolio Management dependent operations for the GIA and Variable Annuity programs, and generating ALM pricing and risk analytics for all of Quantitative Portfolio Managements hedging programs.
$137,800 - $180,800Full-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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Proven experience (5 + years) in governance, risk management, compliance, or a related field, with a focus on developing and implementing GRC frameworks. Draft, review, and update policies and procedures related to Triad's governance, risk management, and compliance, always looking for and recommending improvements, as we grow.
$101,383.7 - $112,648.56 a yearExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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Requires deep expertise in healthcare compliance monitoring and remediation, enterprise risk management and third party risk management, typically gained through at least 15 years of experience in related roles.
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Digital Risk and Compliance LeadAs a Digital Quality Lead, you will proactively engage withproduct teams to provide guidance and consultation on Digitalsolution lifecycle risks and controls.
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Managing Risk - Assessing and effectively managing all of the risks associated with their business objectives and activities to ensure they adhere to and support PNC's Enterprise Risk Management Framework.
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risk and compliance investment management jobs Title: part time Company: Wells Fargo Bank in Lexington, Massachusetts
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