- Capital One (New York, NY)
- …will oversee day-to-day surveillance operations, maintain robust controls around the monitoring of trading activity, and ensure ongoing compliance with ... 5 years of trade surveillance, market regulation, or At least 5 years Compliance experience within a Broker-Dealer or Swap Dealer environment. **Preferred… more
- MUFG (Irving, TX)
- …their extra-territorial application. Experience with markets compliance , markets surveillance, compliance monitoring , auditing or testing reviews and/or ... day. A member of our recruitment team will provide more details. **Job Summary:** Americas Compliance Testing (ACT) is an integral part of the MUFG Regulatory … more
- TD Bank (New York, NY)
- …**Job Description:** This VP, Compliance is a key member of the TDS US Compliance Monitoring & Testing (M&T) Team, responsible for working on the ... + Assist with the development, implementation and coordination of the Compliance Monitoring program, including evaluating program design elements, analyzing… more
- TD Bank (New York, NY)
- …This Senior Compliance Officer is a key member of the TDS US Compliance Monitoring & Testing (M&T) Team, responsible for working on developing, ... Risk Owners to assist and show coverage alongside the Compliance testing and monitoring plan...years of experience with a registered US broker dealer, swap dealer, Global Systematically Important Bank (GSIB), or associated… more
- ADM (Chicago, IL)
- …Perform business communication testing within Smarsh system to ensure regulatory compliance . Take ownership of process from monitoring to follow-up and ... daily trading activity alerts within Validus system. + Perform testing and reviews of compliance policies and...a team to accomplish assigned projects + Experience with Swap related compliance requirements a plus +… more
- SMBC (New York, NY)
- …+ Policies and Procedures Management + Compliance Training + Issues Management + Monitoring & Testing + Compliance Risk Assessment + Communications and ... of benefits to its employees. **Role Description** The SMBC Compliance Advisory Function resides within Compliance Department...compliance experience at a broker dealer and or swap dealer preferred. BA/BS required. JD Preferred. Series 7,… more
- Mizuho Corporate Bank (New York, NY)
- …supporting Structured Equity Finance and Swaps, including: + Equity Swaps, DMA to Swap + Funding, Liquidity Management + Securities Borrow/Loan + Real Time Front ... and risk systems, and enhance operational efficiency and regulatory compliance . The successful candidate will have 10+ years of...financial technology with direct experience in Equity Financing across Swap , D1 Trading, Margin Loan, Real Time Risk… more
- Teledyne (Mountain View, CA)
- …and defense, factory automation, air and water quality environmental monitoring , electronics design and development, oceanographic research, deepwater oil and ... spurious, and bandwidth + Oversee hardware layout, prototype construction, and performance testing + Prepare test methods, analyze results, and verify compliance … more
- Bank of America (Charlotte, NC)
- …regulatory returns for locally regulated legal entities including broker dealers, swap dealers and other legal entities. Key responsibilities include overseeing and ... requirements and effective challenge of results. + Drive identification, remediation, monitoring and escalation of issues impacting regulatory reporting as well as… more