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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.
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To be successful in the role the candidate must have a comprehensive understanding of Regulatory capital rules, control frameworks, banking operations, and financial / regulatory reporting frameworks and be able to effectively work across several teams (Business, Treasury, Risk etc.,) and functions to execute on timely remediation while maintaining a robust controls environment and advancing process improvements with a sense of urgency.
$250,000 - $500,000Full-timeExpandApply NowActive JobUpdated 5 days ago - UpvoteDownvoteShare Job
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Manage and maintain change control and continuously enhance the enterprise risk hierarchies and lists and risk rating criteria (taxonomy, business unit, process, product, risk, and control library.
$97,920 - $135,000 a yearFull-timeExpandApply NowActive JobUpdated Yesterday - UpvoteDownvoteShare Job
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KNOWLEDGE, SKILLS and EXPERIENCEEducation level and/or relevant experience(s) Required:Bachelor’s degree; experience in compliance, internal controls testing, or other control-related function in a financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof.
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Evaluate firms' pre-trade financial, erroneous and regulatory risk management controls to assess compliance with SEC Rule 15c3-5 in equity, options, fixed income and/or other SEC regulated products traded on an Exchange or Alternative Trading System (ATS.
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Demonstrate an understating of a firm's trading activity, financial and regulatory risk management controls, order and execution management systems, and order lifecycles in connection with its market access activities.
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Core Engineering – covers the firm’s core technology infrastructure and software development lifecycle control groups - Technology Risk & Cybersecurity – covers firm-wide technology risk, including information and cyber security, business resilience, technology governance and vendor technology risk management For each assigned review you will report to an experienced audit manager.
$115,000 - $250,000InternExpandApply NowActive JobUpdated 5 days ago - UpvoteDownvoteShare Job
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Intermediate-to-Advanced ability to analyze internal and external data to assess inherent risks of member firms and develop regulatory responses to address higher risk areas. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts.
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Proactively identify, assess and remediate regulatory reporting issues on an ongoing basis in cooperation with Enterprise Risk Management (ERM), systems and business leadership teams. Identify, assess and track applicable regulatory developments affecting the Markets products and/or its clients; work with the Markets business and control function stakeholders to enhance policies, procedures and programs as required.
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QualificationsIntermediate-level knowledge of insurance products/coverage, knowledge of underwriting, pricing, risk selection, market segments and marketplace; insurance finance and actuarial concepts; loss control/risk engineering; marketing techniques, regulatory environment and reinsurance; advanced-level knowledge of territory management.
ExpandApply NowActive JobUpdated 2 days ago - UpvoteDownvoteShare Job
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Advanced understanding of the Banking risk and control environment, and the regulatory environment related to model risk management (SR11-7) Group Audit (GA) is a professional, business focused, proactive risk-based global function that operates with transparency, integrity, and independence, and assists the Bank's business and infrastructure areas to identify key control weaknesses.
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Assist in the development and maintenance of the Annual Testing Plan - maintain awareness of internal and external inputs that drive the compliance risk environment and maintain workpapers and change control logs related to the Annual Plan decisions and periodic refreshes.
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CB Technology support these businesses through Chief Investment Officers (CIO) aligned teams and by 'horizontals' such as Client Connectivity, Surveillance and Regulatory, Infrastructure, Architecture, Production, and Risk & Control.
Full-timeExpandApply NowActive JobUpdated 7 days ago - UpvoteDownvoteShare Job
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Reporting to the Head of Equities Risk & Controls, the role will focus on leading and strengthening the Americas Equities Supervisory controls framework as well as ensuring consistency with firm-wide standards and regulatory expectations with Prudential Bank Regulations.
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The attorney will also work with Citi control functions such as Regulatory, Compliance, Risk, Finance and Tax on issues affecting the Trade business and will work on regional and global projects and initiatives, such as digitization.
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risk control regulatory jobs in New York, NY
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