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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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SMBC Group is seeking a Vice-President for the Compliance Risk Assessment team ("CRA team") within the Compliance Department Americas Division ("CPAD"). Experience conducting Compliance Risk Assessments either as a subject matter expert providing ratings or as a member of a CRA team.
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Plays a key role in the Compliance risk assessment exercise. Extensive Compliance Advisory experience at a broker dealer covering fixed income and/or fixed income futures activities.
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Exiger's mission to make the world a safer place to do business drives its award-winning AI technology platform, DDIQ, built to anticipate the market's most pressing needs related to evolving ESG, cyber, financial crime, third-party and supply chain risk.
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The Senior Director, Model Validation for Santander US Compliance models (Transaction Monitoring, Sanctions Screening, Fraud Risk, etc) will be responsible for leading the independent validation of models used by various Compliance groups in conformance with regulatory guidance on model risk SR11-07 and other regulatory requirements around Compliance models.
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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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Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company.
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We are seeking an Associate to join the Internal Audit Division (IAD) Global Financial Crimes (GFC) team to support assurance activities over the Firm’s financial crime risk management and controls framework, including Anti-Money Laundering (AML), Know Your Customer (KYC), Sanctions, and Anti-Bribery and Corruption.
$105,000 a yearFull-timeExpandApply NowActive JobUpdated 17 days ago - UpvoteDownvoteShare Job
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The Governance, Risk, & Compliance (GRC) Compliance Assurance Senior Analyst will be responsible for performing a variety of tasks within controls, issues, and certifications management.
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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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Strong project management skills, with the ability to work successfully with others at all levels in order to implement compliance and risk management solutions from a practical perspective; Analytical skills, positive attitude, listening and problem-solving skills.
$175,000 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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Assist with the design and implementation of a comprehensive Compliance Risk Assessment (CRA) framework for the SMBC Group Americas Division identifying the inherent risk of applicable laws/regulations/rules and assessing the efficacy of internal controls to derive residual risk profile.
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Key responsibilities of the job include evaluating test structure to determine automation viability, accessing pertinent databases to source testing data, and collaborating with Compliance and Operational Risk officers and/or Front Line Unit (FLU) process owners to design sampling and test procedures that support the test objective and ensure the repeatability and reliability of the testing.
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Lead to build and oversee a cohesive risk MIS and data governance model that integrates and maps all enterprise risk; Lead the formulation and implementation of assurance governing transmission, storage, and use of information and data system.
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Non-Trading Market Risk Management group, as a part of the Finance CRO organization, is responsible for independent risk management of non-trading market risk, including interest rate risk in the banking book as well as market risk management of Treasury Investments.
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