145 senior compliance analyst risk jobs found

About FINRA FINRA is dedicated to protecting investors and ensuring market integrity. As an independent, not-for-profit organization, we oversee brokerage firms and exchange markets, writing and enforcing rules governing the ethical activities of all registered broker-dealer firms and registered brokers in the United States. Every day, we work to safeguard the investing public against fraud and bad practices, making us a vital force in maintaining trust and fairness in America's financial markets. The Opportunity Step into a pivotal role where contract expertise meets strategic partnership. As Principal Analyst in Transparency Services Vendor and Contract Management, you'll serve as the central liaison orchestrating complex agreements that power FINRA's market transparency operations. This isn't just contract administration—it's strategic relationship management across the complete contract lifecycle. You'll negotiate with vendors, collaborate with legal and senior...

Work Location: Mount Laurel, New Jersey, United States of America Hours: 40 Pay Details: $119,110 - $193,550 USD TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs. As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role. Line of Business: Business Management, Strategy & Support Job Description: The Senior Manager, Business Management oversees and...

An exciting career awaits you At MPC, we're committed to being a great place to work - one that welcomes new ideas, encourages diverse perspectives, develops our people, and fosters a collaborative team environment. Position Summary: The ideal candidate should possess extensive expertise in software asset, contract, and software catalog management, with the ability to advance related processes. Responsibilities include defining requirements, contributing to solution designs, validating builds, and providing subject matter expert support for production processes within the ServiceNow ITAM platform. This role serves as a liaison between business and technical teams, ensuring alignment and mutual understanding of objectives. The candidate will also represent requestors to prioritize key initiatives and ensure that all software contracts, models, and allocations are accurately documented in the system of record, with clear ownership and traceability. This position reports to...

Summary Click on "Learn more about this agency" button below for IMPORTANT additional information. The primary purpose of this position is to serve as a project manager in charge of managing specific projects within the squadron's portfolio and production plan, ensuring effective prioritization, resource allocation, and project execution to deliver mission-critical capabilities and improvements. Learn more about this agency This job is open to The public U.S. Citizens, Nationals or those who owe allegiance to the U.S. Duties DUTY 1: Provides project management and execution for strategic deliverables . Serves as a Project Manager responsible for assigned projects within the squadron's analytical roadmap, guiding them through all phases of the project lifecycle, from initiation to closure. DUTY 2: Provides cross-functional communication and production synchronization. Facilitates and enhances cross-functional communication to...

Senior Manager, Risk Management - Policy Analyst Capital One is one of the fastest growing organizations in the world today, powered by our passion for our customers. We are serious about technology, we dream big, and we execute: Capital One moved our entire enterprise to the public cloud over the course of five years. Just as we prioritize driving innovation through technology, we equally prioritize cybersecurity, reliability, software quality, and data management. Technology & Data Risk Management (TDRM) is a small organization that packs a big punch. The ~200 professionals in TDRM are trusted experts who oversee ~14,000 developers at Capital One. We raise the bar for excellence in cybersecurity, reliability, and tech risk, and data management risk. We shape strategy and decisions, challenge activities to ensure they meet our standards, and perform independent tests of our security and technology risk. For years, the cybersecurity community has debated whether the...

Senior Manager, Risk Management - Policy Analyst Capital One is one of the fastest growing organizations in the world today, powered by our passion for our customers. We are serious about technology, we dream big, and we execute: Capital One moved our entire enterprise to the public cloud over the course of five years. Just as we prioritize driving innovation through technology, we equally prioritize cybersecurity, reliability, software quality, and data management. Technology & Data Risk Management (TDRM) is a small organization that packs a big punch. The ~200 professionals in TDRM are trusted experts who oversee ~14,000 developers at Capital One. We raise the bar for excellence in cybersecurity, reliability, and tech risk, and data management risk. We shape strategy and decisions, challenge activities to ensure they meet our standards, and perform independent tests of our security and technology risk. For years, the cybersecurity community has debated whether the...

Location: 4910 Tiedeman Road, Brooklyn Ohio Job Summary The Analyst, Portfolio Management is an individual contributor responsible for supporting the Portfolio Management team in their financial analysis and preparation of underwriting documents to support multimillion-dollar corporate credit requests that grow funded assets and Key's client base, while maintaining asset quality within a moderate risk profile. These requests include obtaining initial approval for new credit exposure (e.g., revolving credit facilities, term loans, leases, foreign exchange products, derivatives products, and other ancillary products) and amendments to existing exposure. As part of the first line of defense, the Analyst also assists the team with ongoing credit monitoring and risk rating of corporate clients and gathering and supporting the review of legal documentation. Essential Functions Analyzing and researching municipal issuers and borrowers in a wide range of sectors...

Location: 4910 Tiedeman Road, Brooklyn Ohio Job Summary The Analyst, Portfolio Management is an individual contributor responsible for supporting the Portfolio Management team in their financial analysis and preparation of underwriting documents to support multimillion-dollar corporate credit requests that grow funded assets and Key's client base, while maintaining asset quality within a moderate risk profile. These requests include obtaining initial approval for new credit exposure (e.g., revolving credit facilities, term loans, leases, foreign exchange products, derivatives products, and other ancillary products) and amendments to existing exposure. As part of the first line of defense, the Analyst also assists the team with ongoing credit monitoring and risk rating of corporate clients and gathering and supporting the review of legal documentation. Essential Functions Analyzing and researching municipal issuers and borrowers in a wide range of sectors...

SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance. The Group has more than 130 offices and 80,000 employees worldwide in nearly 40 countries. Sumitomo Mitsui Financial Group, Inc. (SMFG) is the holding company of SMBC Group, which is one of the three largest banking groups in Japan. SMFG’s shares trade on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges. In the Americas, SMBC Group has a presence in the US, Canada, Mexico, Brazil, Chile, Colombia, and Peru. Backed by the capital strength of SMBC Group and the value of its relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients. It connects a diverse client base to local markets and the organization’s extensive global network. The Group’s...

About Northern Trust: Northern Trust, a Fortune 500 company, is a globally recognized, award-winning financial institution that has been in continuous operation since 1889. Northern Trust is proud to provide innovative financial services and guidance to the world’s most successful individuals, families, and institutions by remaining true to our enduring principles of service, expertise, and integrity. With more than 130 years of financial experience and over 22,000 partners, we serve the world’s most sophisticated clients using leading technology and exceptional service. The Trading Market Risk Professional will assist in monitoring market risk and developing risk analytics for the Northern Trust’s Capital Markets business and Global Treasury unit. The position reports to the Head of Corporate Trading Market Risk and Treasury Credit Risk. The Trading Market Risk team is under the Financial Risk Management Department in the 2nd Line of Defense. The key...

Position Description & Qualifications Looking for an opportunity at a place you can have influence every day? Then Serco has the right opportunity for you! As the Submarine Configuration Management Specialist, you will provide programmatic support to one of our NAVSEA customers in the Washington, DC area. Bring your expertise and collaborative skills to make an impact towards our military defense and safety of our sailors. Serco supports the US Navy as a subcontractor for their Team Submarine contract supporting the acquisition of submarines. The Team Submarine concept unifies once diverse submarine-related activities into a single submarine-centric organization with the goal of eliminating traditional stovepipe structures and processes that created impediments and inefficiencies in the submarine research, development, acquisition, and maintenance communities. Team Submarine provides improved communication among the various offices that contribute to the overall...

Position Description & Qualifications Looking for an opportunity at a place you can have influence every day? Then Serco has the right opportunity for you! As the Submarine Configuration Management Specialist, you will provide programmatic support to one of our NAVSEA customers in the Washington, DC area. Bring your expertise and collaborative skills to make an impact towards our military defense and safety of our sailors. Serco supports the US Navy as a subcontractor for their Team Submarine contract supporting the acquisition of submarines. The Team Submarine concept unifies once diverse submarine-related activities into a single submarine-centric organization with the goal of eliminating traditional stovepipe structures and processes that created impediments and inefficiencies in the submarine research, development, acquisition, and maintenance communities. Team Submarine provides improved communication among the various offices that contribute to the overall...

SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance. The Group has more than 130 offices and 80,000 employees worldwide in nearly 40 countries. Sumitomo Mitsui Financial Group, Inc. (SMFG) is the holding company of SMBC Group, which is one of the three largest banking groups in Japan. SMFG’s shares trade on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges. In the Americas, SMBC Group has a presence in the US, Canada, Mexico, Brazil, Chile, Colombia, and Peru. Backed by the capital strength of SMBC Group and the value of its relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients. It connects a diverse client base to local markets and the organization’s extensive global network. The Group’s...

Position Description & Qualifications Looking for an opportunity at a place you can have influence every day? Then Serco has the right opportunity for you! As the Submarine Configuration Management Specialist, you will provide programmatic support to one of our NAVSEA customers in the Washington, DC area. Bring your expertise and collaborative skills to make an impact towards our military defense and safety of our sailors. Serco supports the US Navy as a subcontractor for their Team Submarine contract supporting the acquisition of submarines. The Team Submarine concept unifies once diverse submarine-related activities into a single submarine-centric organization with the goal of eliminating traditional stovepipe structures and processes that created impediments and inefficiencies in the submarine research, development, acquisition, and maintenance communities. Team Submarine provides improved communication among the various offices that contribute to the overall...

Position Description & Qualifications Looking for an opportunity at a place you can have influence every day? Then Serco has the right opportunity for you! As the Submarine Configuration Management Specialist, you will provide programmatic support to one of our NAVSEA customers in the Washington, DC area. Bring your expertise and collaborative skills to make an impact towards our military defense and safety of our sailors. Serco supports the US Navy as a subcontractor for their Team Submarine contract supporting the acquisition of submarines. The Team Submarine concept unifies once diverse submarine-related activities into a single submarine-centric organization with the goal of eliminating traditional stovepipe structures and processes that created impediments and inefficiencies in the submarine research, development, acquisition, and maintenance communities. Team Submarine provides improved communication among the various offices that contribute to the overall...

Senior Manager, Cybersecurity Product Management Capital One is seeking a technical security product leader to deliver game-changing cybersecurity solutions based on threat, data, and design thinking. At Capital One, we believe in the values of Excellence and Doing the Right Thing. We are a technology-oriented company delivering financial products to market through modern technology and constant innovation at a massive scale. That innovation includes leveraging technology to deliver the best cybersecurity solutions for our internal and external customers. As a candidate for Endpoint Security Product role, you're able to seamlessly switch from executive-level risk conversations to diving deep into controls and technology to driving high level, strategic discussions around roadmaps and security solutions. You are naturally curious and stay on top of emerging trends and threats. You are not afraid to question any existing processes and solutions, yet you display a keen sense...

Position Description & Qualifications Looking for an opportunity at a place you can have influence every day? Then Serco has the right opportunity for you! As the Submarine Configuration Management Specialist, you will provide programmatic support to one of our NAVSEA customers in the Washington, DC area. Bring your expertise and collaborative skills to make an impact towards our military defense and safety of our sailors. Serco supports the US Navy as a subcontractor for their Team Submarine contract supporting the acquisition of submarines. The Team Submarine concept unifies once diverse submarine-related activities into a single submarine-centric organization with the goal of eliminating traditional stovepipe structures and processes that created impediments and inefficiencies in the submarine research, development, acquisition, and maintenance communities. Team Submarine provides improved communication among the various offices that contribute to the overall...

Position Description & Qualifications Looking for an opportunity at a place you can have influence every day? Then Serco has the right opportunity for you! As the Submarine Configuration Management Specialist, you will provide programmatic support to one of our NAVSEA customers in the Washington, DC area. Bring your expertise and collaborative skills to make an impact towards our military defense and safety of our sailors. Serco supports the US Navy as a subcontractor for their Team Submarine contract supporting the acquisition of submarines. The Team Submarine concept unifies once diverse submarine-related activities into a single submarine-centric organization with the goal of eliminating traditional stovepipe structures and processes that created impediments and inefficiencies in the submarine research, development, acquisition, and maintenance communities. Team Submarine provides improved communication among the various offices that contribute to the overall...

Position Description & Qualifications Looking for an opportunity at a place you can have influence every day? Then Serco has the right opportunity for you! As the Submarine Configuration Management Specialist, you will provide programmatic support to one of our NAVSEA customers in the Washington, DC area. Bring your expertise and collaborative skills to make an impact towards our military defense and safety of our sailors. Serco supports the US Navy as a subcontractor for their Team Submarine contract supporting the acquisition of submarines. The Team Submarine concept unifies once diverse submarine-related activities into a single submarine-centric organization with the goal of eliminating traditional stovepipe structures and processes that created impediments and inefficiencies in the submarine research, development, acquisition, and maintenance communities. Team Submarine provides improved communication among the various offices that contribute to the overall...

SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance. The Group has more than 130 offices and 80,000 employees worldwide in nearly 40 countries. Sumitomo Mitsui Financial Group, Inc. (SMFG) is the holding company of SMBC Group, which is one of the three largest banking groups in Japan. SMFG’s shares trade on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges. In the Americas, SMBC Group has a presence in the US, Canada, Mexico, Brazil, Chile, Colombia, and Peru. Backed by the capital strength of SMBC Group and the value of its relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients. It connects a diverse client base to local markets and the organization’s extensive global network. The Group’s...

Position Description & Qualifications Looking for an opportunity at a place you can have influence every day? Then Serco has the right opportunity for you! As the Submarine Configuration Management Specialist, you will provide programmatic support to one of our NAVSEA customers in the Washington, DC area. Bring your expertise and collaborative skills to make an impact towards our military defense and safety of our sailors. Serco supports the US Navy as a subcontractor for their Team Submarine contract supporting the acquisition of submarines. The Team Submarine concept unifies once diverse submarine-related activities into a single submarine-centric organization with the goal of eliminating traditional stovepipe structures and processes that created impediments and inefficiencies in the submarine research, development, acquisition, and maintenance communities. Team Submarine provides improved communication among the various offices that contribute to the overall...

Position Description & Qualifications Looking for an opportunity at a place you can have influence every day? Then Serco has the right opportunity for you! As the Submarine Configuration Management Specialist, you will provide programmatic support to one of our NAVSEA customers in the Washington, DC area. Bring your expertise and collaborative skills to make an impact towards our military defense and safety of our sailors. Serco supports the US Navy as a subcontractor for their Team Submarine contract supporting the acquisition of submarines. The Team Submarine concept unifies once diverse submarine-related activities into a single submarine-centric organization with the goal of eliminating traditional stovepipe structures and processes that created impediments and inefficiencies in the submarine research, development, acquisition, and maintenance communities. Team Submarine provides improved communication among the various offices that contribute to the overall...

Position Description & Qualifications Looking for an opportunity at a place you can have influence every day? Then Serco has the right opportunity for you! As the Submarine Configuration Management Specialist, you will provide programmatic support to one of our NAVSEA customers in the Washington, DC area. Bring your expertise and collaborative skills to make an impact towards our military defense and safety of our sailors. Serco supports the US Navy as a subcontractor for their Team Submarine contract supporting the acquisition of submarines. The Team Submarine concept unifies once diverse submarine-related activities into a single submarine-centric organization with the goal of eliminating traditional stovepipe structures and processes that created impediments and inefficiencies in the submarine research, development, acquisition, and maintenance communities. Team Submarine provides improved communication among the various offices that contribute to the overall...

Position Description & Qualifications Looking for an opportunity at a place you can have influence every day? Then Serco has the right opportunity for you! As the Submarine Configuration Management Specialist, you will provide programmatic support to one of our NAVSEA customers in the Washington, DC area. Bring your expertise and collaborative skills to make an impact towards our military defense and safety of our sailors. Serco supports the US Navy as a subcontractor for their Team Submarine contract supporting the acquisition of submarines. The Team Submarine concept unifies once diverse submarine-related activities into a single submarine-centric organization with the goal of eliminating traditional stovepipe structures and processes that created impediments and inefficiencies in the submarine research, development, acquisition, and maintenance communities. Team Submarine provides improved communication among the various offices that contribute to the overall...