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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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Understanding of the current and evolving landscape of regulatory compliance and risk management for global financial technology and crypto companies. Work with CCO in assessing, overseeing, and improving the risk management and compliance practices for retail crypto trading and custody.
$175,000 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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Familiarity with Supply Chain Risk Management, Governance, Risk & Compliance, and Third-Party Risk Management. 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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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 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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10+ years Experience in Risk Management, Treasury, Capital Markets or other functions within a financial services sector. 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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GTPS provides corporate clients, financial institutions, Societe Generale entities and business lines with a wide range of payment products and services such as USD payments, corporate cash management services, check services, foreign exchange conversions and standby letter of guarantees.
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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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Familiarity with Governance, Risk, and Compliance (GRC) technologies such as RSA Archer or ServiceNow. 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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Keywords: D365 for Customer Engagement, D365CE, CE, Dynamics CRM, CRM, Budget Management, Change Management, Project Management, Risk Management, Project Tracking, Risk Mitigation, PMP, PMI, PMI ACP, Agile, Waterfall, Methodology, Project Manager, Senior Project Manager, MS Project, LCS, VSTS, DevOps, Power BI, Financial Reports.
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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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3-5 years in the financial services industry at a broker/dealer or regulatory agency (i.e. FINRA, SEC, CFTC), ideally with an emphasis on surveillance with exposure to business, IT, operations, support, and control functions.
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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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At NYC Health + Hospitals, our mission is to deliver high quality care health services, without exception. Knowledgeable of NYC Health + Hospitals’ financial counseling and financial assistance policies and procedures.
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Participates in establishment of frameworks for evaluating the impact of adverse Non-Trading Market Risk events and circumstances on the Firm's operations and financial condition. 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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compliance risk net financial services wilkes barre jobs Title: manager in Newark, NJ
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