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Handling and managing a wide variety of Management Liability Claims including Public and Private Company Directors and Officers (D&O), Private Equity Errors and Omissions (E&O)/D&O, Investment Advisors, ICPL and Transactional Liability & Contingent Risk.
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The Chief Risk Officer for Finance (Finance CRO) organization provides risk management oversight of the Global Finance function, including effective risk challenge and mitigation of risk for capital, liquidity, interest rate risk and Treasury investments, and ensures compliance with all risk-related regulatory requirements.
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Role Description The successful candidate will serve as the Chief Compliance Officer (CCO) and be responsible for leading all components of the compliance program for an investment advisory firm in Manhattan, which is currently registered with New York State and will register with the U.S. Securities and Exchange Commission (SEC) in the near future.
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The Advisory Compliance team serves as a regulatory advisory function and is responsible for overseeing the management of the broker dealer's compliance risk, and is represented by the Chief Compliance Officer as either a member or observer of various committees such as the New Product, Underwriting, Risk Management, Compliance, and Trainingcommittees.
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The first-line CISO has operational responsibilities and reports to the CIO. The second-line Chief Tech Risk Officer (CTRO) and the Technology Risk Management (TRM) organization have broader responsibilities for cybersecurity but also reliability, software quality, resilience, and other technology risks.
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The CTRO is independent, reports to the Chief Risk Officer, and oversees the work of the CISO and the CIO. As part of the second line of defense, this position will also collaborate closely with associates in first line Cyber, Technology, the Lines of Business, as well as other second line of defense risk management offices to perform and support evaluations of the effectiveness of the firm’s controls infrastructure and offer independent advice and recommendations regarding ways to further mature the firm’s technology risk management capabilities.
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And coordinating with other Chief Officers for credit risk and legal/compliance/BSA/AML risk. Ensure and responsible for an effective Enterprise Risk Management strategy, culture and framework that includes establishment of risk limits on an enterprise-wide basis and monitoring of compliance of such limits; the implementation of and ongoing compliance with policies and procedures; development and implementation of processes and systems; management or risks and risk controls within the risk-control framework; and monitoring and testing of the risk controls.
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The Deputy Chief of Staff will indirectly supervise the School's events teams on all events involving the Dean or the events that are School-wide while directly supporting the Dean and Vice Dean in managing the most critical and public-facing functions of the School - Class Day, Orientation, Trustee presentations, or any other critical functions that are needed in a dynamic and highly effective work environment.
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The Regulatory Affairs Business Risk Officer is a first line professional within the Wholesale Banking division managing and assisting the business with regulatory adherence with a strong focus on BSA/AML, change management and people manager of a first line KYC team.
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Prior experience with control evaluation within model risk, operational risk, compliance risk, financial reporting, regulatory reporting, or internal audit is ideal. SMBC is seeking a Model Risk Manager with a strong internal controls and quantitative background to join the Model Risk Controls Testing Team within the Model Risk & Validation (MVG) Group.
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Provides contribution to development of target state strategy of the overall approach to Non-Trading Market Risk programs in alignment with the Enterprise Risk Management Framework.
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Make recommendations to the Chief Information Officer on an information security roadmap based on risk analysis and assessments for current state and future state of information security posture.
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There are innumerable opportunities for the successful candidate to partner with clinicians and researchers across MSK to investigate new strategies for efficient screening, surveillance, early detection and risk mitigation to reduce the harms of cancer and its treatment.
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The Senior Excess Casualty Underwriter is responsible for: Serving as a customer industry advocate with a focus on improving the customer experience by understanding their risk and offering the best end to end solution for their insurance needs.
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Managed Account Advisors (MAA) is a Registered Investment Advisor that serves as the central resource for implementing and managing investments in the Merrill Lynch Investment Advisory Program (IAP), Select Portfolio Solutions Program (SPS) for the Private Bank and Merrill Guided Investing (MGI) for Consumer Investments.
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with degree chief risk advisors managing jobs in Harrison, NJ
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