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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 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 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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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.
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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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Familiarity with Supply Chain Risk Management, Governance, Risk & Compliance, and Third-Party Risk Management. In recognition of the growing volume and complexity of data and regulation, Exiger is committed to creating a more sustainable risk and compliance environment through its holistic and innovative approach to problem solving.
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Utilizes thorough understanding of methodologies, relevant regulatory requirements, and governance control processes for independent risk management oversight of Non-Trading Market Risk activities.
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Conduct audits and assess import compliance on every file where CBP services are provided. Ensure such knowledge is factored into the departmental processes and employees are trained in import compliance and regulatory requirements and changes.
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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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Bachelor's Degree required; J.D. or M.B.A. preferred; Minimum of 12 years of prior regulatory, compliance, and/or risk management experience. while promoting measures to mitigate regulatory compliance risk.
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Responsibility of flow business and administrative tasks in connection with trade transactions: market research, profitability calculations, risk and compliance controls, internal reporting, bank/country limits authorization requests to Head-Office in Paris, etc.
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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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Familiarity with regulatory and compliance requirements related to Distributed Infrastructure management, Data Protection, and Cyber Resiliency. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit's risk appetite and all risk and compliance program requirements.
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Advise and credibly challenge executive management on risk issues to influence strategic direction and long-term business planning and to ensure compliance with regulatory rules and expectations.
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Liaise with existing fund clients to coordinate compliance related due diligence visits and provide ongoing Fund CCO support to clients of ALPS. Assist regulators and consultants by providing requested information necessary to conduct regulatory/compliance reviews and examinations of the funds assigned.
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regulatory compliance risk net services wilkes barre jobs Title: manager in Newark, NJ
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