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National Risk Officer
3 weeks ago
Morgan Stanley New York, United StatesNational Risk Officer · Job Number: · 3250220 · POSTING DATE: Apr 12, 2024 · PRIMARY LOCATION: Americas-United States of America-New York-New York · EDUCATION LEVEL: Bachelor's Degree · JOB: Wealth Management · EMPLOYMENT TYPE: Full Time · JOB LEVEL: Vice President · DESCRIPTION ...
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Market Risk Officer
1 week ago
Citi New York, United States**Responsibilities**: · - Working with each trading desk to ensure that all relevant market risk factors are properly identified and formally captured in official risk systems · - Working with senior risk managers in Volcker compliance program · - Developing and maintaining an ap ...
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Trust Compliance and Risk Officer
3 weeks ago
Amalgamated Bank of NY New York, United StatesAmalgamated Bank is seeking a Trust Compliance & Risk Officer to be responsible for the Compliance and Risk Management Program for the Bank's Investment Management Division/Trust Department and compliance with applicable federal/state laws and regulations, contractual obligations ...
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Svp Governance Enterprise Risk Officer
3 weeks ago
Citi New York, United States**Responsibilities**: · - Facilitate ERM interactions with regulators like OCC and FRB. That includes developing content for ongoing quarterly reviews and responses to ad hoc inquiries. · - Coordinate efforts to close MRI/MRIA (in and out of consent order) ensuring consistent app ...
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Citi New York, United States**Team Overview**: · - Oversee and coordinate regulatory examinations to ensure the Independent Risk teams are organized and proactively addressing regulatory requests and concerns; · - Manage ongoing supervisory regulatory interactions, including meetings and information request ...
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Associate, CIB Corporate Credit Risk Officer
6 days ago
Santander Holdings USA Inc New York, United States Full timeAssociate, CIB Corporate Credit Risk OfficerNew York, United States of AmericaThe Associate - Credit Risk Officer, supports the 2LOD CIB Corporate Credit Risk team on the reviews of credit applications submitted by the front office to prepare executive summaries for the managemen ...
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Vp, Business Risk and Control Officer
3 days ago
Citi New York, United States**Responsibilities**: · - Help contribute to governance and the facilitation of the execution of the Manager Control Assessment (MCA, i.e. Risk & Control Self-Assessment) as required by the MCA Standard including the assessment and appropriate approval of risk associated with bus ...
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Santander Holdings USA Inc New York, United States Full timeExecutive Director, Leveraged Finance Credit Risk OfficerNew York, United States of AmericaEssential Functions/Responsibility Statements: · Responsible for risk oversight and credit approval for one or more industry verticals within the leveraged lending group, including product ...
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Risk Officer
2 weeks ago
Morgan Stanley New York, NY, United StatesPOSITION SUMMARY: · The Complex Risk Officer is responsible for a wide variety of supervisory, compliance, and risk functions · In conjunction with the Senior Complex Risk Officer, the Complex Risk Officer has accountability for maintaining a consistent controlled environment th ...
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Risk Officer
3 weeks ago
Bloomberg New York, United StatesThe energy of a newsroom, the pace of a trading floor, the buzz of a recent tech breakthrough; we work hard, and we work fast - while keeping up the quality and accuracy we're known for. It's what keeps us inventing and reinventing, all the time. Our culture is wide open, just li ...
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Risk Officer
1 week ago
Morgan Stanley New York, United StatesThe Complex Risk Officer is responsible for a wide variety of supervisory, compliance, and risk functions. In conjunction with the Senior Complex Risk Officer, the Complex Risk Officer has accountability for maintaining a consistent controlled enviro Risk Officer, Officer, Risk, ...
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Citi New York, United StatesGlobal Risk Review (GRR) provides independent, objective, reliable, valued and timely assurance to the Boards, the Committees, the Citigroup Chief Risk Officer, the Citigroup Chief Credit Officer, senior management and regulators over the effectiveness of credit, capital and coll ...
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Vp Compl Aml Risk Mgmt Officer
1 day ago
Citi Jersey City, United StatesThe Compliance Anti Money Laundering Risk Management Officer is a senior professional level role responsible for establishing internal procedures to prevent money laundering and assist in all matters concerning financial crimes in coordination with the broader Anti-Money Launderi ...
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Senior Risk Officer
3 weeks ago
New York City, NY Manhattan, United StatesThe New York City Comptroller's Office works to promote the financial health, integrity, and effectiveness of New York City government, in order to strengthen trust, secure a thriving future for all New Yorkers, and build a more just, equitable, and resilient city. Led by an inde ...
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Business Risk Officer
1 week ago
Citigroup Inc. New York, United StatesResponsible for managing and supporting multiple risk and control programs for the organization including implementing the strategy, approach, processes, quality, tools and reporting that provide global risk management consistency and excellence. Wor Risk Officer, Risk, Vice Pres ...
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Market Risk Officer
5 days ago
Citigroup Inc New York, United StatesThe Market Risk Officer is a strategic professional who stays abreast of developments within own field and contributes to directional strategy by considering their application in own job and the business. Recognized technical authority for an area within the business. Requires ba ...
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Business Risk Officer
3 weeks ago
KForce New York, United StatesKforce's client, a prominent global diversified financial services company in New York, NY is seeking a Business Risk Officer - VP Operational Risk.Summary:This is an opportunity to work for an incredibly stable and growing business that rewards its strong performers with both te ...
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Credit Risk Officer
2 weeks ago
Natixis Corporate & Investment Banking New York, United StatesNatixis currently hiring a Credit Risk Officer (Vice President) who will primarily focus on Corporate and Structured Finance in North Americas, with a focus on Aviation and Infra Finance. He/she/they will be responsible for preparing credit risk opinions and market & financial an ...
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Credit Risk Officer
2 weeks ago
Emergent365 Inc New York, United StatesCredit Risk Officer – Hedge Funds and Private Equity Funds – X2 · Investment Bank · Midtown, hybrid 2 days / week onsite · 150-195K base + bonus · Job Summary: · A leading investment bank located in midtown Manhattan is seeking a VP level Credit Risk Officer for its Prime Brokera ...
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Business Risk Officer
1 week ago
Citigroup Inc. New York, United StatesOur Treasury & Trade Solutions and Securities Services businesses provide global solutions that can help clients drive their business forward while investing in innovation to bring new solutions to life. As new technologies open up new opportunities for us to serve our clients, T ...
Business Risk Officer - New York, United States - Citigroup Inc
Description
The Business Risk Officer / Supervisory Principal is a strategic professional who stays abreast of developments within own field and contributes to directional supervisory oversight of their business/region or scope of jurisdiction. Recognized technical and supervisory authority over multiple areas within the business and complex investments. While the role may require a unique level of subject matter expertise, multiple people within the unit may provide similar levels of subject matter expertise. Developed communication and diplomacy skills are required in order to guide, influence and convince others, in particular, colleagues and partners in other areas. Significant impact on the area through complex analysis, assessment and evaluation. Provides advice and counsel related to the Risk and Control framework and supervisory oversight of the business.
**Responsibilities:**
+ Correspondence reviews
+ Assist in the resolution of investment-related complaints
+ Responsible for review of escalated surveillance issues.
+ Review and approval of Marketing Material (if applicable)
+ Review and approval of Outside Investments and Activities (if applicable)
+ Monitor Licensing and Registration requirements
+ Post-trade blotter reviews
+ Management of trade errors and corrections
+ Manage and maintain OSJ (Office of Supervisory Jurisdiction) files
+ Review and approval of new brokerage and managed accounts
+ Review and dispositioning of designated suitability alerts and breaks within policy guidelines
+ Review and approve client suitability profiles (if applicable)
+ Partner with Regional Supervisory Principal and Regional Supervisory Head and team on the resolution of escalated supervisory issues
+ Review and pre-trade approval of designated bank-channel and broker-dealer investments
+ Interface, consult with and escalate to Senior Management and partners including, but not limited to, Compliance, Legal, AML, Regional Business Risk, Regional COO and Sales Management
+ Assist with ad-hoc projects and/or workflow UAT testing as assigned by Manager
+ Assist with coaching and training Registered Representatives when applicable
+ Conduct periodic mandatory supervisory meetings
+ Assist with audits, examinations, testing and regulatory inquiries when applicable
**Qualifications:**
+ Relevant 6-10 years of supervisory experience in the financial industry; compliance or other risk management experience helpful
+ FINRA Series 7, 66 (or 63 and 65), 24 (and/or 9/10) and 31; Series 3 or 4 a plus
+ Willingness to obtain any missing licenses within 120 days of hire
+ Knowledge of Bank and Broker-Dealer businesses
+ Strong knowledge and experience in complex investment products such as Alternatives, Structured Products and Derivatives)
+ Ability to multi-task, assess and balance diverse priorities
+ Strong networking, influencing and negotiating skills
+ Strong analytical skills
+ Excellent written and verbal communication skills
+ Strong organizational and time management skills
+ Excellent interpersonal and diplomacy skills
+ Ability to work independently, execute on agreed upon timelines and work under pressure
+ Experience in internal/external audit management preferred
+ Strong problem-solving skills
+ Ability to see the big picture with high attention to critical details
+ Demonstrated ability to contribute to/participate in process improvement initiatives
+ Proficiency in MS Office (primarily Excel), Pershing NetX360, Actimize Surveillance, Salesforce and other related business applications preferred ?
**Education:**
+ Bachelors/University Degree or equivalent experience
**Job Family Group:**
Risk Management
**Job Family:**
Business Risk & Control
**Time Type:**
Full time
**Primary Location:**
New York New York United States
**Primary Location Full Time Salary Range:**
$129, $194,760.00
In addition to salary, Citis offerings may also include, for eligible employees, discretionary and formulaic incentive and retention awards. Citi offers competitive employee benefits, including: medical, dental & vision coverage; 401(k); life, accident, and disability insurance; and wellness programs. Citi also offers paid time off packages, including planned time off (vacation), unplanned time off (sick leave), and paid holidays. For additional information regarding Citi employee benefits, please visit Available offerings may vary by jurisdiction, job level, and date of hire.
**Anticipated Posting Close Date:**
May 08, 2024
Citi is an equal opportunity and affirmative action employer.
Qualified applicants will receive consideration without regard to their race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.
Citigroup Inc. and its subsidiaries ("Citi) invite all qualified interested applicants to apply for career opportunities. If you are a person with a disability and need a reasonable accommodation to use our search tools and/or apply for a career opportunity review **Accessibility at Citi )** .
View the "EEO is the Law ) " poster. View the EEO is the Law Supplement ) .
View the EEO Policy Statement ) .
View the Pay Transparency Posting )
Citi is an equal opportunity and affirmative action employer.
Minority/Female/Veteran/Individuals with Disabilities/Sexual Orientation/Gender Identity.
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