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Bachelor’s Degree, MBA or JD preferred. Respond to internal compliance requests and external audits, interact with sales, traders, bankers, research and regulatory authorities. 5-7+ years of U.S. broker-dealer compliance expertise monitoring equity sales, trading, research and investment banking.
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Sales (Hotel Sales preferred) Northwestern Mutual New York NY. Sales (Hotel Sales preferred) Prior sales and/or business experience preferred. Sales (Hotel Sales preferred) Northwestern Mutual New York NY.
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Possessing experience with Oracle Cloud Risk Management Cloud (RMC) design, implementation or assessment experience including Advanced Access Controls (AAC), Advanced Financial Controls (AFC) and Financial Reporting Compliance (FRC.
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Experience with power distribution and controls equipment and sheet metal fabrication is preferred, but not required. A BS in mechanical or industrial engineering is preferred, but not mandatory.
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We are currently looking to hire an Instrumentation & Controls Technician for one of our clients who are a Global Leader in the production of Clean Energy. A minimum 2 years of progressively responsible experience maintaining industrial plant process equipment is preferred, as is experience in either solid waste, wastewater, biogas, power generation or other relevant industry.
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The Certified Financial Planner focuses on assigned High Net Worth (HNW) and Ultra High Net Worth (UHNW) clients and works closely with internal portfolio managers. · Extensive experience serving Ultra High Net Worth clientele with a focus on generational wealth management and preservation is preferred.
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Advanced degree (e.g., MBA, JD) preferred. The ideal candidate will have extensive expertise in banking operations, Broker Dealer and Swap Dealer regulations (including the global impact of relevant U.S. regulations), compliance with regulations, and a deep understanding of front office sales and trading operations.
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Managing internal controls, supervisory systems, and tailoring future processes as needed; Bachelor’s Degree required, MBA or JD helpful. Engage with various regulators, risk management personnel, and business partners on various management, response, and internal/external audit needs.
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CFA and/or MBA/graduate degree in finance or economics, or progress toward attaining, preferred. In concert with these efforts, an important function is content development, working with internal parties to ensure accurate and compelling representation of the investment strategies under coverage, working closely with the Head of Product Strategy in support of key initiatives and ad hoc projects.
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Internal Controls and Risk :risk assessment and risk mitigation, maintaining internal controls and segregation of duties, keeping up with local legislation changes, contract/license/permit administration, etc.
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Proven experience as a Cost Lead Resource, Project Controls, Cost Manager or similar role. Assist the Project Manager and Construction Manager in overseeing and managing technical, cost, and schedule performance using a Project Controls System, encompassing earned value management, key performance indicators, risk management, and change control.
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In addition, this individual will work closely with the TINA Ethics & Compliance Team and management/business leaders, and business units and risk owners to identify and execute ethics and compliance risks, controls, mitigation and remediation tools, and related policies, procedures, controls, and training that promote understanding and adherence to laws, rules, regulations, and company policies.
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This incumbent will support the operational risk management activities, including Risk and Controls Assessment, Process Library Management, Risk and Controls Taxonomy, Controls Testing, Issues Management, and Risk Analytics in accordance with Heightened Standard.
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Will closely work with Chief Data Office (CDO) and Financial Crimes Data Officer teams to handle the data analysis requests, internal controls, performance tuning, impact analysis requests.
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The role will will manage a group of talented individuals and report to and work closely with the Managing Director, IA RBC US IT for independent, objective assurance over the design and operation of the Bank's US IT risk management practices, governance processes and the system of internal controls.
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internal controls mba preferred jobs Title: controller Company: Motive Companies in New York, NY
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