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Provide transmission risk POV to groups such as ERCOT Power Trading, Origination and Development for commercial operations and Regulatory to improve the performance of the market and reliability of the system.
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The Legal Officer will be a member of the executive management team and Chief Compliance Officer for the Integrity Wealth portfolio of companies (“Integrity Wealth”), and will manage regulatory compliance, align legal and compliance strategies to company-wide objectives, suggest innovative business solutions, mitigate risk, and ensure legal efficiency for Integrity Wealth.
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In North America alone, ERM has more than 300 dedicated air quality and climate change professionals assisting clients with projects as diverse as developing strategic approaches at the corporate level to upcoming regulatory drivers, to leading complex capital projects through the many hurdles associated with the NSR permitting program.
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Minimum 5-10 years of related experience with specific emphasis on BSA / AML at a financial institution, regulatory or law enforcement agency. Major Responsibilities:Global Risk Analytics Decisions (GRADs) Governance: 20%Lead the successful expansion and ongoing oversight of GRADs (formerly AMBRS) across all regions to ensure consistent governance and execution; provide guidance on the GRADs process to impacted stakeholders and ensure proper alignment to model risk management; ensure an audit-ready environment through accurate document retention and approval processes.
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This person will be responsible for compliance at Integrity Wealth with all applicable federal and state laws, including those of the Securities and Exchange Commission ("SEC"), relating to state securities, as well as the requirements of any self-regulatory organizations including FINRA.
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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. Demonstrated experience relating to all inherent industry risks (i.e., Operational, Sales Practice, Fraud and Deception, Money Laundering, Accuracy of Regulatory Capital, Credit, Market, Liquidity, and/or Segregation of Client Assets.
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Plan, perform, and lead BSA/AML Compliance and Fraud audits at the enterprise level as well as other diverse lines of business and specialty areasSubject matter expertise in US financial crime regulations including the Bank Secrecy Act/Anti-Money Laundering, Sanctions (e.g., OFAC)Support the execution of the annual BSA independent audit as well as regulatory and partner exams by creating presentation materials and providing timely responses to inquiries.
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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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Juris Doctor degree from an accredited law school required, with at least 10 years combined tax experience in a law firm, in-house legal department, large financial advisory firm, or the Internal Revenue Service.
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Maintain regulatory compliance with all interest rate risk management directives. Monitor, analyze and reconcile differences between regulatory and in-house rate risk measures.
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Key Responsibilities:Operate independently as a QA partner across the assigned subject matter expert (SME) audit teams, forming partnerships at all levels within IA. Support the QA Director (QAD) and Senior Audit Manager (SVP) in fostering a strong QA partnership with the IA Chief Auditors.
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Deloitte Risk and Financial Advisory helps clients manage strategic, financial, operational, technological, and regulatory risk to enhance enterprise value, while our experience in mergers and acquisitions, fraud, litigation, and reorganizations helps clients emerge stronger and more resilient.
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This position also requires work at extreme heights, in areas that are under construction, or in restricted areas such as a switchgear room, manhole, utility tunnel, crawl space, or attic, in confined spaces, and on slippery or uneven surfaces; works on ladders, scaffolds, aerial lifts, catwalks, in ditches and excavations; works in and around single and multi-story buildings with all exposures typical of a heavy construction site, including portable sanitary facilities.
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At least 1 year of experience in one or more of the following domains: Access Control, Telecom and Network Security, Cybersecurity Governance and Risk Management, Software Development Security, Cryptography, Security Architecture and Design, Operational Security, Business Continuity & Disaster Recovery, Legal Regulations, Investigations and Compliance, Physical (Environmental) Security, IT or Security Audit, IT or Security Compliance required.
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As the liaison between the firm and its regulators on matters of regulatory compliance, RPG team members work closely with business, engineering, operations, risk, compliance and legal teams throughout the firm.
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at risk regulatory jobs in Irving, TX
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