Capital Markets Compliance Leader | Risk & Policy
Regions Bank
Regions Bank is seeking a Capital Markets Compliance Function Manager to act as a first, second, or third line of defense risk management expert. The role oversees multiple products and processes, develops policies, and supports business decisions while ensuring regulatory compliance. The position requires extensive experience in compliance within Capital Markets, with leadership responsibilities and potential for incentive-based compensation. #J-18808-Ljbffr Regions Bank
- ...comprehensive suite of banking, capital markets and advisory solutions,... ...is seeking the Head of Risk Aggregation, Reporting and... ...Portfolio Management, this leader will establish and oversee... ...certain incidents.Specific compliance policies may apply regarding outside...PolicyRiskFull timeWork experience placement
$149.52k - $175.9k
...Bancorp is seeking a Senior Compliance Officer to advise US Bank's Capital Markets. This role within the... ...with Senior to Executive Leaders in their assigned Line of Business, Risk/Compliance/Audit (RCA) Consultants... ...appropriate. Influences policies and procedures to maximize...PolicyRiskFull timeWork experience placementLocal area3 days per week$155.98k
Job Description At Regions, the Capital Markets Compliance Function Manager operates as a first, second, or third line of defense risk management expert that advises on business and... ...addition to developing business plans, policies, and procedures to support the Capital...PolicyRiskFull timeWork at officeFlexible hours$150k
...Opportunity As a Banking & Capital Markets Tax Director, you will... ...on tax planning, compliance, and strategy. You... ...the next generation of leaders. In this role within... ...while minimizing risks of non-compliance. You... ...within the following policy: Learn more about how...PolicyRiskH1b- Capital Markets Business Enablement Operations - Business Analyst in Charlotte, NC Zions... ...Trading, Sales, Technology, Operations, Compliance, Legal, Market Risk Management, Treasury, and Finance... ...discrimination and reaffirms its policy of providing Equal Employment Opportunity...PolicyRiskWork experience placementLocal areaFlexible hours
- Infosys is seeking a Capital Market & Financial Risk Management Business Analyst to join our team in Charlotte, NC, with responsibilities spanning analysis of client processes, benchmarking studies, and collaboration with cross-functional teams to align solutions with industry...RiskRelocation
- Infosys is seeking a Capital Market & Financial Risk Management Business Analyst to join the Financial Services team in Charlotte, NC (and nearby) with Jersey City, NJ and Tampa, FL locations. You will analyze client processes, map requirements, and document SOPs focused...Risk
$82.49k - $122.99k
...Infosys Financial Services unit is a global leader in driving digital transformation for financial... ...Skill and Experience Experience with Capital Markets products (e.g., Equities, Fixed Income, Derivatives) and/or Risk functions (Market Risk, Credit Risk, Operational...RiskFull timeTemporary workRelocation$115k - $184.5k
...responsible for providing risk oversight and advice... ...including credit, market, operational and compliance, as well as... ...categoriesEnsures adherence to the policies and procedures... ...the Company’s capital, liquidity and interest... ..., and creating leaders within Global Risk Management...PolicyRiskFull timeWork at officeFlexible hoursDay shift- ...liquidity planning, debt financing, hedging, and risk management in a public company setting.... ..., and Investor Relations to optimize capital structure and funding strategies. The... ...deep experience in cash management, capital markets, and risk controls, with a focus on M&A...Risk
- Hayward Industries, a global leader in residential and commercial pool equipment,... ...strategic VP Treasury to drive liquidity, capital structure, and risk management across the organization.... ...cash management, hedging, and capital markets. #J-18808-Ljbffr Hayward IndustriesRisk
- Infosys invites experienced consultants to drive domain flexibility in capital markets. You will analyze client processes, map requirements, and coordinate risk and regulatory program initiatives across trading and risk platforms. Join a global team focused on AI-enabled...Risk
$115k - $120k
...multinational consulting firm in Charlotte seeks a Business Analyst specializing in the Banking industry, focusing on Capital Markets Risk Reporting and Compliance. Candidates should have a Bachelor's degree or equivalent experience, proficiency in SQL, and strong analytical...Risk$145.84k - $218.76k
...Governance Strategy, and/or Data Risk and Control Framework and Data... ...of the Data Governance Policy/Data Risk and Control framework. We are seeking a Capital Markets-focused finance and risk professional... ...policy adoption plans, compliance metrics, communications and trainingLead...PolicyRiskFull timeWork at office$132.26k - $155.6k
...improve U.S. Bancorp’s (USB) risk management, control, and... ...dedicated audit coverage for Capital Markets and institutional broker-dealer... ..., partnering with risk, compliance, operations, and technology... ...complex audits aligned to CAS policies, IIA Standards, and applicable...PolicyRiskFull timeWork experience placementLocal area3 days per week- ...general management of Capital Market Operations within Wholesale... ...framework, associated risks, and strategic... ...Partner with front office leaders to support their... ...terminations within established policies and guidelines8. Stays... ..., and ensure compliance with financial responsibility...PolicyRiskFull timePart timeShift workDay shift
- ...Architect - Human Capital Management Portfolio... ...and technology leaders and engineering teams... ..., dependencies, risks, and long-term sustainability... ....Understand compliance, governance,... ...Fargo standards, policies, methodologies, and... ...programs (Credit, Market, Financial Crimes,...PolicyRiskFull timeWork experience placement
$115k - $120k
...Analyst expertise in the Banking industry, specifically in Capital Markets Risk Reporting and Compliance and fixed income. Experience with databases and SQL.... ...time off based on employee grade (A-F), defined by policy: Vacation: 12-25 days, depending on grade, company...PolicyRiskLocal area- ...role:The Emerging Middle Market (EMM) Segment Strategy Leader will serve as the EMM segment... ...works to strengthen risk and control infrastructure around sales procedures, policies, activities, and product placement... ...risk mitigating and compliance-driven culture which firmly...PolicyRiskFull timeWork experience placementSecond job
$80k - $200k
...competitive advantage in the markets we serve. We are all united... ...the company’s success. As a Capital Markets ESOP Director within... ...regulatory requirements. Maintains compliance with policies and regulations. Provides... ...customer solutions.Managing Risk - Assessing and effectively...PolicyRiskFull timeTemporary workPart timeWork experience placementWork at office$170.26k - $200.3k
...DescriptionU.S. Bank is seeking a Market Enablement to drive... ...with the business line leaders, product and clients to... ..., Iteration & Risk AwarenessTrack and analyze... ...feedback.Partner with compliance, legal, and risk teams... ...comply with U.S. Bank policies and procedures including...PolicyRiskFull timeLocal area$132.26k - $155.6k
...current or future visa sponsorship.The Market Risk Data Analytics Specialist will support Market... ...templates used to monitor trading and capital markets risk.Use VBA, SQL, Excel, Python... ...must be able to comply with U.S. Bank policies and procedures including the Code of Ethics...PolicyRiskFull timeWork experience placementLocal area3 days per week- TD Bank US Compliance is seeking a Senior Compliance Business Oversight Manager... ...independent challenge for the Marketing line of business. The role focuses on regulatory risk, change management, and... ...Compliance partners and business leaders to strengthen controls. You will...Risk
- ...Fargo is seeking a Lead Risk Analytics Consultant to... ...of regulatory capital, data quality, controls... ...stakeholders to ensure compliance with capital rules, integrity... ...sponsorship.Specific compliance policies may apply regarding... ...risk programs (Credit, Market, Financial Crimes,...PolicyRiskFull timeWork experience placementRelocation package
$164.78k - $314.96k
...consistent with applicable policy and business needs... ...join the Climate Risk and Exposure... ...and thought leader for USAA's Concentration... ...trends, and capital impacts into actionable... ...knowledge of market trends and emerging... ...accordance with risk and compliance policies and...PolicyRiskFull timeH1bWork at officeRemote workHome officeRelocation package$100k - $160k
...forward. Position Overview:The Capital Planning Manager is a... ...money, resources and reduce risk. Manage and analyze the client... ...and translates outputs into marketable deliverables (i.e., Case Studies... ...Equal Employment Opportunity policy here.Jones Lang LaSalle (“JLL...PolicyRiskFull timeLocal areaImmediate startRemote work$150k - $350k
...talk. We are expanding to new markets and looking for Lead Advisors... ...Estate Planning, Tax Planning, Risk Management, and General Planning... ..., investment, and cash flow/capital needs planning analysis Unquestioned... ...the company has offices. This policy applies to all terms and...PolicyRiskFull timeSummer workWork at officeLocal areaImmediate startRemote workFlexible hours- ...Charlotte, NC. This role involves leading a team to meet compliance and risk management objectives while implementing technology solutions... ...over 5 years of experience in business analysis within Capital Markets and is proficient in Agile methodologies, data management,...Risk
- ...solution areas including Risk Management, Energy... ...& Sustainability, Compliance, Business Process,... ...assists client leaders in maximizing... ...return on investment capital through design and... ...may affect policy performance (e.g.... ...with production and marketing of the crop, patterns...PolicyRiskFull timeContract workTemporary workFor contractorsWork at officeFlexible hours
$54.4k - $111.5k
...product to support calling efforts of Bond Capital Markets, Leveraged Finance, Corporate &... ...mandates. Responsible and accountable for risk by openly exchanging ideas and opinions,... ...elevating concerns, and personally following policies and procedures as defined. Accountable...PolicyRiskInternshipImmediate startVisa sponsorship
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