Regulatory/Compliance Risk Jobs

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Job Title	Company Name	Location	Posted Date
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COMPLIANCE INVESTIGATOR (Ref: 090106-KD-58)	U.S. Government	Americas, United States	01/06/2009
see details hide details JOB SUMMARY:PLEASE READ ALL THE INSTRUCTIONS UNDER "HOW TO APPLY" BEFORE YOU BEGIN.AREA OF CONSIDERATION: All Sources – All interested U.S. citizens may apply. You need not be a current or former Federal employee to apply.The Risk Management Agency (RMA) is looking for people who want to help to ensure...
Manager, Regulatory Advisory Services (Ref: 090106-KD-45)	KPMG	Americas, United States	01/06/2009
see details hide details Do you have a passion for solving complex business problems? KPMG's Advisory Services Practice focuses on fundamental business issues - managing risk, increasing revenues, controlling costs - that organizations, across various industries, should address in order to help them flourish. We are currently seeking a Manager/Senior Manager to join us...
Manager, Records Risk Management (Ref: 090106-KD-39)	KPMG	Americas, United States	01/06/2009
see details hide details KPMG LLP provides audit, tax and advisory services to a broad range of clients. KPMG's commitment to its clients is demonstrated in our client service delivery approach with cross-functional teams that extend across industry segments. Advisory Services professionals strive to help clients improve business performance, comply with regulatory requirements and...
Manager, Risk & Compliance (Ref: 090106-KD-33)	KPMG	Americas, United States	01/05/2009
see details hide details KPMG LLP provides audit, tax and advisory services to a broad range of clients. KPMG's commitment to quality is demonstrated in our disciplined delivery approach and use of cross-functional teams. Advisory Services professionals strive to help clients improve business performance, comply with regulatory requirements, and achieve sustainable value over time....
Senior Associate, Regulatory Advisory Services (Ref: 090106-KD-31)	KPMG	Americas, United States	01/05/2009
see details hide details KPMG LLP provides audit, tax and advisory services to a broad range of clients. KPMG's commitment to quality is demonstrated in our disciplined delivery approach and use of cross-functional teams. Advisory Services professionals strive to help clients improve business performance, comply with regulatory requirements, and achieve sustainable value over time....
Electronic Trading Risk Analyst (Ref: 090106-KD-28)	Morgan Stanley	Americas, United States	01/05/2009
see details hide details Position DescriptionElectronic trading risk management is a team of 5 that is part of the IED Risk Management team. The team works with the multiple teams to:# Provide Business Ownership of Trade/Regulatory Reporting associated with traditional and electronic trading activities# Improve and monitor existing control frameworks for Electronic Trading...
Regulatory Control Group Associate (Ref: 090106-KD-25)	Morgan Stanley	Americas, United States	01/05/2009
see details hide details Position DescriptionRegulatory Control GroupResponsible for the following:• Responsible for reviewing sales & trading exception reports on a daily basis and maintaining records relating to these reviews.• Interact with IED supervisors, and, when necessary, traders and salespeople with regard to supervisory issues, exceptions and to obtain necessary sign-offs.• Continually monitor...
Regional Compliance Officer - Northeast (Ref: 090106-KD-17)	UBS	Americas, United States	01/05/2009
see details hide details About UBS UBS is a leading global financial services firm. Global Wealth Management & Business Banking offers sophisticated wealth management services and personalized advice to help our clients achieve their financial goals. We are the world's leading wealth management business, Switzerland’s leading retail and commercial bank, and one of the...
Compliance Manager (Ref: 090105-KD-34)	Capital One	Americas, United States	01/05/2009
see details hide details RequirementsCorporate Compliance is seeking an experienced, well-rounded Compliance Manager to assist in managing key components of our compliance management program including monitoring, reporting, training, policies and procedures and RISK assessment in our retail banking segment. This position may also provide compliance consulting to one or more Business Areas in all...
Senior Compliance Manager (Ref: 090105-KD-29)	Capital One	Americas, United States	01/05/2009
see details hide details RequirementsCorporate Compliance is seeking an experienced, well-rounded Senior Compliance Manager to provide compliance consulting and decision-making support to Business Areas in all areas of consumer compliance within Capital Ones banking business, and to otherwise assist in managing key components of our Compliance Management program. The Senior Compliance Manager guides, advises,...