Financial Risk Analyst jobs in United States, Florida, Tampa
Bank Of America Financial Solutions Advisor - Tampa Market United States, Florida, Tampa
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Job Description:
Job Description:
This job is responsible for providing comprehensive advice and customized solutions to clients to help them achieve their financial goals. Key responsibilities include triaging client leads, making referrals to business partners based on client needs and asset thresholds, meeting with clients to review financial and investment goals, building a financial plan, and recommending brokerage products. Job expectations include applying and expanding knowledge by completing required licenses and trainings. This position is subject to SAFE Act registration requirements. Pursuant to the SAFE Act requirements, all employees engaged in residential loan mortgage originations must register with the federal registry system and remain in good standing. Since this position requires SAFE Act registration, employees are required to register and to submit to the required SAFE Act background check and registration process. Failure to obtain and/or maintain SAFE Act registration may result in disciplinary action up to and including termination.
Responsibilities:
• Works with clients to plan their short and long-term financial goals by building a financial plan with brokerage products, including stocks, bonds, mutual funds, annuities, and banking and money managed solutions
• Recommends banking and investments strategies that align with client financial goals and needs
• Triages client requests and makes referrals to appropriate internal service providers based on client needs and asset thresholds
• Mitigates and controls risk as part of daily activities
• Identifies and engages potential new clients through referrals or financial center clientele
• Provides coaching and feedback to referral partners based on knowledge of client needs and potential product services recommended
Required Qualifications:
• Currently holds Series 7 & 66 (63 & 65 in lieu of 66) licenses. If you do not currently hold the 66 but have either a 63 or 65, an offer can be extended with the condition that a passing score is received for the missing series within 60 days.
• Has at least one year experience in the investments industry, including investment training and in-depth knowledge of investment products and services.
• Has at least one year experience working in the financial service industry and/or a sales environment where goals were met or exceeded.
• Sets and accomplishes goals, achieving whatever you put your mind to.
• Builds and nurtures strong relationships.
• Collaborates effectively with others to get things done.
• Communicates effectively and confidently and is comfortable engaging all clients.
• Manages goals, navigates complexity, prioritizes tasks and executes in a fast-paced environment.
• Likes to learn, adapts to new information and seeks the right solutions for clients.
• Efficiently manages your time and capacity.
• Is thorough and thoughtful in incorporating relevant regulatory due diligence into daily activities and long-term strategies for clients.
Desired Qualifications:
• Strong computer skills with an ability to multitask in a demanding environment.
• At least three years’ experience working in the financial service industry and/or a sales environment where goals were met or exceeded.
• Achieved additional professional designations such as Certified Financial Planner (CFP) and/or Chartered Retirement Planning Counselor (CRPC).
• Obtained your insurance licenses.
• Advisory
• Account Management
• Client Experience Branding
• Customer and Client Focus
• Oral Communications
• Issue Management
• Client Solutions Advisory
• Pipeline Management
• Active Listening
• Attention to Detail
• Risk Management
• Policies, Procedures, and Guidelines
• Client Management
• Causation Analysis
• Written Communications
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JPMorgan Tech Risk Assurance Lead United States, Florida, Tampa
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As a Tech Risk Assurance Lead at JPMorgan Chase within the Cybersecurity Technology and Controls, you will lead expert technical risk assurance and control oversight to ensure the firm's products and lines of business achieve their objectives while effectively managing risk. Utilizing your background in technology risk management, you will work with cross-functional teams to identify, assess, and mitigate emerging risks and vulnerabilities. Your tactical and strategic decision-making will significantly impact the firm's operations, financial management, and public image. You will play a crucial role in fostering a robust risk culture and catalyzing continuous improvement, contributing to the development and implementation of comprehensive risk management policies, standards, and controls.
Job responsibilities
- Lead comprehensive risk assessments to identify potential threats and vulnerabilities in the Firm's processes, systems, and operations, developing risk mitigation strategies.
- Develop and maintain robust relationships, becoming a trusted partner with LOB technologists, assessments teams, and data officers to facilitate cross-functional collaboration and progress toward shared goals.
- Advise stakeholders on risk management, controls development and adherence to mitigate risks.
- Proactively monitor key risk indicators, analyze control metrics, and offer insights on risk management effectiveness to senior management, driving continuous improvement initiatives.
- Engage with regulators, clients, and stakeholders on risk-related issues, provide necessary oversight, ensuring compliance with laws, regulations, and internal policies.
Required qualifications, capabilities, and skills
- Formal training or certification on security concepts and 5+ years of experience or equivalent expertise in technology risk management, information security, or a related field, with a focus on risk assessment and control evaluation.
- Demonstrated expertise in regulatory compliance, risk management frameworks, and industry best practices (e.g., NIST, ISO, FFIEC, GDPR)
- Proficient in data security, risk management & controls, security governance, and analytical thinking, with a track record of implementing effective risk mitigation strategies.
- Advanced knowledge of data analytics and data literacy.
Preferred qualifications, capabilities, and skills
- Certified Risk and Information Systems and Controls (CRISC) certification.
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JPMorgan Compliance Operations Risk Test Lead - Senior Associate United States, Florida, Tampa
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Job Summary:
As a Trade Lifecycle Associate within our Securities Services Operation, you will be responsible for the end-to-end process of the trade lifecycle, ensuring timely processing and settlement of trades. You will investigate and resolve trade-related breaks in accordance with established work practices and procedures. Collaborate with various internal teams such as Middle Office, Pre-Matching, Cash Processing, Account Opening, and Asset Servicing to process transactions and resolve any exceptions in a timely manner. Perform root cause analysis for clients to increase Straight Through Processing (STP) and reduce client inquiries. Establish and maintain relationships with operations and middle office contacts at clients. Manage issues and exceptions above materiality thresholds for resolution, ensuring all day-to-day queries are dealt with within required SLAs and escalate issues to the team leader.
Job Responsibilities:
- Ensure timely processing and settlement of trades, investigate and resolve trade-related breaks.
- Collaborate with internal teams to process transactions and resolve exceptions promptly.
- Perform root cause analysis to increase STP and reduce client inquiries.
- Establish and maintain relationships with operations and middle office contacts at clients.
- Manage risk and issues exceptions above materiality thresholds for resolution.
- Ensure all day-to-day queries are dealt with within required SLAs and escalate issues as needed.
Required Qualifications, Capabilities, and Skills:
- Bachelor's Degree required.
- Knowledge of financial markets, trade lifecycle, and settlement practices.
- Excellent verbal and written communication skills, adept at communicating with all levels of the business and technical parts of the organization.
- Ability to operate effectively in a dynamic environment with tight deadlines and exhibit time management skills.
- Exposure to business intelligence tools (e.g., Tableau, Alteryx, UiPath, OwlDQ); comfortable working with data.
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JPMorgan Risk & Controls Operations Associate – Global Banking United States, Florida, Tampa
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As a Business Relationship Manager Senior (BRM) Deepening banker in Business Banking, you’ll be managing a portfolio of large profitable business clients with annual revenue greater than ~$5MM. You’ll focus on deposit acquisition, product deepening, client retention and growth, and gaining referrals to increase primary bank share. As a Senior Deepening banker, you will provide a high-touch experience by building relationships and providing financial advice with a focus on client experience and risk management while deepening existing relationships and leveraging referrals to acquire new relationships.
Job Responsibilities
- Manage, retain and deepen a portfolio of approximately 80-100 business clients in stable/mature stage with annual revenue greater than ~$5 million; provide business deposit and cash management solutions and manage business credit opportunities up to approximately $15 million; provide support to branch-based business bankers on sizeable business credit deals as needed
- Deliver an outstanding experience to Chase business clients by providing comprehensive and customized business banking solutions tailored to the financial needs and circumstances of their businesses
- Use knowledge of business, finance, banking, credit, and risk management to identify, recommend, and promote solutions that best serve the client and ensure the profitability of the portfolio. Leverage knowledge of diverse types of businesses, industries, markets, financial and economic concepts, as well as creative marketing techniques, utilizing Chase resources and materials to develop business network and prospects
- Regularly conduct in-person/virtual calls with existing clients, referrals and centers of influence at their places of business, looking for ways to cultivate long-term, primary banking relationships
- Understand the personal financial goals and needs of the owner(s). Utilize knowledge of personal banking products and partner with Branch, Wealth Management and Private Bank to identify and deliver appropriate personal financial solutions
- Utilize knowledge of treasury products and partner with product specialists to onboard clients seamlessly and ensure end-to-end delivery of new accounts and full suite of products and services; follow up with clients after account opening to determine appropriate additional solutions and establish digital capabilities
- Protect the firm by following sound risk management protocols and control policies and adhering to regulatory requirements
Required qualifications, capabilities, and skills
- Minimum of 5 years’ experience in a Business Banking Relationship Management role or related business lending experience
- Strong knowledge of deposit and cash management products and services, and knowledge of business credit underwriting with commercial credit training. Uses seasoned judgment to offer comprehensive and customized solutions that best meet client needs; monitors and researches market/industry trends and business outcomes to anticipate client needs; presents proactive solutions and innovative alternatives when appropriate
- Demonstrated ability to anticipate clients’ issues, own problems on clients’ behalf, and follow through with commitments
- Strong relationship-building and excellent communication skills with individuals at all levels, internally and externally. Ability to influence others to achieve desired outcomes, and leverage technology to interact with clients effectively and efficiently
- Excellent organizational skills and the ability to manage, prioritize, work under pressure and meet tight deadlines
- Self-directed, proactive, and creative; uses sound judgment and navigates ambiguity to get things done
- Balance needs of clients with associated risks and interests of the firm
Preferred qualifications, capabilities, and skills
- Bachelor’s degree in Finance or related field, or equivalent work experience
- Minimum of 3 years’ managing clients >$10+MM revenue
- Proficient in Microsoft Office tools including Outlook, Excel, Word, and PowerPoint
- In-depth knowledge of diverse types of businesses, industries, markets, financial and economic concepts
- In-depth knowledge of diverse types of businesses, industries, markets, financial and economic concepts
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JPMorgan Compliance Operations Risk Test Lead - Senior Associate United States, Florida, Tampa
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Job responsibilities
- Conduct comprehensive testing processes, ensuring all activities are completed accurately and on time, while adhering to the firm's highest risk priorities.
- Utilize advanced analytical thinking to identify control coverage gaps and verify that controls are properly designed and implemented.
- Apply problem-solving skills to address complex situations, develop alternate solutions, and interpret policies to ensure compliance with technical standards.
- Collaborate with cross-functional teams to align testing efforts and maintain open communication with stakeholders, ensuring effective execution of tasks.
- Continuously improve control evaluation methods and interpret control ratings and metrics to enhance the firm's compliance and operational risk management.
- 3+ years of experience in executing and managing testing processes within a professional or specialized field.
- Demonstrated proficiency in analytical thinking, with a track record of systematically organizing, comparing, and evaluating various aspects of a situation to identify key information.
- Proven ability to perform assessments of the control environment, identifying control coverage gaps and verifying the proper design and implementation of controls.
- Experience in coordinating activities across multiple departments, with the ability to adapt to changing priorities and manage a team if required.
- Proficiency in utilizing Project Management methodologies, tools, and techniques to lead and manage aspects of the project management lifecycle.
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JPMorgan AI/ML - Technology & Cybersecurity Risk Management Vice Pres... United States, Florida, Tampa
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As a Technology Operational Risk Vice President within the Compliance, Conduct and Operational Risk Technology & Cyber organization, you will lead large, complex programs and oversee AI/ML systems. You will evaluate technology practices for operational challenges and cybersecurity-related concerns, identifying potential risks, and evaluating existing risks on a global scale. Your proven ability to promote business results with your insights will be crucial, as you will be working with a wide range of technology, risk stakeholders, and functional teams. Leveraging your experience in AI/ML, engineering, software development and cyber operations, you will identify risks within the technology stack or organization that could lead to operating disruption, compliance or security issues. Besides developing and executing an oversight plan, you will also build and maintain credible relationships with first-line stakeholders.
Job Responsibilities
- Oversee operational risk of the Engineering organization developing platforms for AI/ML and Data serving
- Drive the thematic analysis of existing risks, internal / external events relating to AI/ML
- Participate and challenge first line technology and cyber risk mitigation strategies and overall execution in their development of AI/ML use cases
- Assess risk of AI/ML use for technology and cyber purposes
- Collaborate with Operational Risk Officers across Corporate Functions in AI/ML risk oversight activities
Required qualifications, capabilities, and skills
- Minimum 10 years of experience in a technology role
- Strong background in AI/ML and the technology used to build AI/ML solutions
- Strong understanding of Technology and Cyber assessment of technology systems
- Strong understanding of the Technology and Cyber threat landscape for AI/ML and associated mitigations
- Ability to collaborate with high-performing teams and individuals throughout the firm to accomplish common goals
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JPMorgan Compliance Operations Risk Test Senior Specialist - Associat... United States, Florida, Tampa
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As an Audit Manager - Commercial and Investment Bank Technology -you will beand
Job responsibilities
- Work closely with business and technology audit colleagues to ensure that key risks are identified and assessed in the program of audit coverage.
- Assist in all aspects of audits including risk assessments, audit planning, audit testing, control evaluation, report drafting and follow up and verification of issue closure.
- Perform audit work in accordance with department and professional standards, and complete assignments in an efficient manner.
- Attention to detail to ensure accuracy and completeness of audit coverage.
- Write audit work papers and reports with minimal intervention by the Audit Director.
- Partner with colleagues, stakeholders and control community members to evaluate, test and report on the adequacy and effectiveness of management controls with appropriate recommendations for improvement. This may be delivered through specific audit reviews or through ongoing involvement in major activities or projects.
Required qualifications capabilities and skills
- Extensive internal or external technology or risk & controls work experience
- Solid understanding of internal control concepts with the ability to evaluate and determine the adequacy of controls by considering business and technology risks in an integrated manner.
- Extensive knowledge of system development life cycle concepts with an ability to quickly learn a complex, distributed computing environment.
- Strong analytical skills, particularly in regard to assessing the probability and impact of an internal control weakness
- Excellent verbal and written communication skills. Also, good interpersonal skills with the ability to present complex and sensitive issues to senior management, and influence change.
Preferred qualifications capabilities and skills
- Degree and background in Technology
- Related professional certification such as CISA, CISSP, or CIA
These jobs might be a good fit
Share
Job Description:
Job Description:
This job is responsible for providing comprehensive advice and customized solutions to clients to help them achieve their financial goals. Key responsibilities include triaging client leads, making referrals to business partners based on client needs and asset thresholds, meeting with clients to review financial and investment goals, building a financial plan, and recommending brokerage products. Job expectations include applying and expanding knowledge by completing required licenses and trainings. This position is subject to SAFE Act registration requirements. Pursuant to the SAFE Act requirements, all employees engaged in residential loan mortgage originations must register with the federal registry system and remain in good standing. Since this position requires SAFE Act registration, employees are required to register and to submit to the required SAFE Act background check and registration process. Failure to obtain and/or maintain SAFE Act registration may result in disciplinary action up to and including termination.
Responsibilities:
• Works with clients to plan their short and long-term financial goals by building a financial plan with brokerage products, including stocks, bonds, mutual funds, annuities, and banking and money managed solutions
• Recommends banking and investments strategies that align with client financial goals and needs
• Triages client requests and makes referrals to appropriate internal service providers based on client needs and asset thresholds
• Mitigates and controls risk as part of daily activities
• Identifies and engages potential new clients through referrals or financial center clientele
• Provides coaching and feedback to referral partners based on knowledge of client needs and potential product services recommended
Required Qualifications:
• Currently holds Series 7 & 66 (63 & 65 in lieu of 66) licenses. If you do not currently hold the 66 but have either a 63 or 65, an offer can be extended with the condition that a passing score is received for the missing series within 60 days.
• Has at least one year experience in the investments industry, including investment training and in-depth knowledge of investment products and services.
• Has at least one year experience working in the financial service industry and/or a sales environment where goals were met or exceeded.
• Sets and accomplishes goals, achieving whatever you put your mind to.
• Builds and nurtures strong relationships.
• Collaborates effectively with others to get things done.
• Communicates effectively and confidently and is comfortable engaging all clients.
• Manages goals, navigates complexity, prioritizes tasks and executes in a fast-paced environment.
• Likes to learn, adapts to new information and seeks the right solutions for clients.
• Efficiently manages your time and capacity.
• Is thorough and thoughtful in incorporating relevant regulatory due diligence into daily activities and long-term strategies for clients.
Desired Qualifications:
• Strong computer skills with an ability to multitask in a demanding environment.
• At least three years’ experience working in the financial service industry and/or a sales environment where goals were met or exceeded.
• Achieved additional professional designations such as Certified Financial Planner (CFP) and/or Chartered Retirement Planning Counselor (CRPC).
• Obtained your insurance licenses.
• Advisory
• Account Management
• Client Experience Branding
• Customer and Client Focus
• Oral Communications
• Issue Management
• Client Solutions Advisory
• Pipeline Management
• Active Listening
• Attention to Detail
• Risk Management
• Policies, Procedures, and Guidelines
• Client Management
• Causation Analysis
• Written Communications
These jobs might be a good fit
