EQUITIES COMPLIANCE AND OPERATIONAL jobs in NEW YORK CITY NY, United Kingdom

for executing second line of defense compliance and operational risk oversight for a Front Line Unit, Control Function, and/or Third... Parties. Key responsibilities include ensuring requirements of the Global Compliance Enterprise Policy, the Operational Risk...

for executing second line of defense compliance and operational risk oversight for a Front Line Unit, Control Function, and/or Third... Parties. Key responsibilities include ensuring requirements of the Global Compliance Enterprise Policy, the Operational Risk...

with the trading desk and other risk and support groups (i.e., Compliance, Finance, Operations..., etc.). This job is responsible for the analysis, monitoring and reporting applicable market related risks taken within Global Equities. Key...

risk, liquidity risk, counterparty risk, operational risk as well as risk governance and oversight of dedicated regulated... Management, including the Legal, Compliance, the Risk Division and Controllers in order to effectively monitor risk...

culture. Manager, First Line Operational Risk and New Initiatives, US Internal Control (200806) Global Banking and Markets... for every future! Overview The Manager, First Line Operational Risk and New Initiatives contributes to the overall success...

culture. Manager, First Line Operational Risk and New Initiatives, US Internal Control (200806) Global Banking and Markets... for every future! Overview The Manager, First Line Operational Risk and New Initiatives contributes to the overall success...

US Capital Markets Compliance Team is seeking a Compliance Director with primary accountability for the Firm’s Cash Equities... that significantly impact the Bank’s ability to monitor regulatory compliance programs, minimize operational risk and align...

place for the identification, management, measurement, monitoring and control of operational, reputation and legal... and corporate governance groups. US Compliance delivers on the global Compliance mandate by providing timely, proactive advice...

management issues by identifying, measuring, and making decisions on operational or enterprise risks for an organization. Analyze... & Options), OTC Derivatives, (Swaps, Options, structured Products,), Equities, FX, Credit, Rates, government and Corporate Bonds...

’s operational risk management framework within the North American Markets and Treasury business units. Primary focus... is on identification, assessment, and monitoring of key business operational risks. The Risk & Controls VP will also assist in the...

of transactions per day, identifying and mitigating operational risks, developing strong client relationships and partnering... transacted on behalf of other businesses such as Interest Rates, Equities, Private Wealth Management and Commodities...

(i.e., Compliance, Finance, Operations, etc.). Responsibilities: Provides oversight of identification of market risk exposures..., Surveillance, and Testing Regulatory Compliance Technical Documentation Trading Strategy Market Risk Manager primarily...

with the trading desk and other risk and support groups (i.e., Compliance, Finance, Operations, etc.). Responsibilities... Compliance Technical Documentation Market Risk Manager primarily covering FRTB deliverables for various Line of Businesses...

with the trading desk and other risk and support groups (i.e., Compliance, Finance, Operations, etc.). Responsibilities... Compliance Technical Documentation Market Risk Manager primarily covering FRTB deliverables for various Line of Businesses...

is our ability to leverage a global team of talented professionals to define solutions and lead change across the operational infrastructure... classes (e.g., fixed income, equities, and alternatives) and products including mutual funds, ETFs, separate accounts...

and prepare materials to assist and lead account planning efforts Front Office: Proactively identify operational risks... operational risk loss events, control deficiencies and risks that you identify to your line manager and the relevant risk...

US Equity Derivatives Sales team May include supporting Global Equities team in multiple verticals including Notes, listed... etc). Proactively identify operational risks/ control deficiencies in the business Review and comply with Firm Policies applicable...