- SMBC (Jersey City, NJ)
- … Compliance Department Americas Division is seeking a VP of Swap Dealer Compliance Monitoring & Testing (M&T). The VP is responsible for execution of ... serve as a team member for M&T annual planning, monitoring and testing reviews. This role will...of swap dealer experience + Has a Compliance Testing , NFA or Internal Audit background… more
- Citigroup (New York, NY)
- …a manner consistent with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors, providing day-to-day Compliance ... procedures. Specifically, the role is responsible for advising on compliance risk management activities for Citi's swap ...on swaps regulations on a real-time basis to manage compliance risk. + Overseeing the monitoring and… more
- ManpowerGroup (New York, NY)
- …coverage over the banks Swap Dealer Operations. **Job Title: Vice President, Compliance Monitoring & Testing (Swaps)** **Location: New York, NY ... top banking client is seeking a Vice President of Compliance Monitoring & Testing (Swaps)...rules and regulations. **What's Needed?** + 7+ years of swap dealer experience + Compliance Testing… more
- TEKsystems (Jersey City, NJ)
- … compliance and experience with swap dealer. + Experience conducting compliance reviews and monitoring testing experience and procedural scripts. + ... NJ (1 day on site) Description : + Conduct compliance reviews of swap dealer operations to...for improvement. + Develop and maintain detailed documentation of testing and review findings. + Utilize Bloomberg and other… more
- TD Bank (New York, NY)
- …they should be tracked + Utilize the Firm's in-house system, Merlin, for TDS US Compliance monitoring and testing activities + Provide review and challenge ... oversee Oversight Program over first line and second line Monitoring and Testing Activities + Conduct Quality... testing activities to ensure that first line testing effectively meets standards for coverage of compliance… more
- TD Bank (New York, NY)
- …**Preferred Qualifications:** This Compliance Officer is a key member of the TDS US Compliance Monitoring and Testing Team and Core Compliance Group. ... as needed. **Depth and Scope:** + Execute the annual Compliance testing and monitoring plan...Knowledge of US laws, rules and regulations pertaining to Swap Dealers, including Dodd-Frank and Volcker + Excellent interpersonal,… more
- Mizuho Corporate Bank (New York, NY)
- …and developing and implementing compliance controls and programs such as: + Compliance testing , surveillance and monitoring + Drafting and implementing ... compliance risks Summary ACD seeks a Vice President, Compliance Monitoring within the Compliance ...other Compliance Governance pillars, including Regulatory Change, Compliance Risk Assessment, Compliance Testing ,… more
- SMBC (New York, NY)
- … compliance . This individual will be responsible for bank, broker-dealer and swap dealer regulatory compliance across support functions. The individual will ... reminders as well as responses to support regulatory inquiries, examinations, audits and monitoring and testing . The individual must be familiar with US banking,… more
- SMBC (Jersey City, NJ)
- …program. The results of the risk assessment process will be utilized to drive monitoring and testing initiatives and refocus resources as new emergent risks are ... Description** SMBC Group is seeking a Vice-President for the Compliance Risk Assessment team ("CRA team") within the ...respect to documenting key controls as well as driving monitoring and testing plans. **Qualifications and Skills**… more
- Mizuho Corporate Bank (New York, NY)
- …and developing and implementing compliance controls and programs such as: + Compliance testing , surveillance and monitoring + Drafting and implementing ... + Collaborate with other Compliance Governance pillars, including Regulatory Change, Compliance Testing , and Issues Management to ensure Compliance Risk… more
- CIBC (New York, NY)
- …visit CIBC.com (https://www.cibc.com/en/about-cibc.html) The Senior US Equity Derivatives Compliance Officer is responsible for: 1) administering CIBC's policies ... Markets Equities and Equity Derivatives businesses; (2) taking reasonable steps to ensure compliance with all SEC, FINRA, and all other relevant SRO (eg Cboe)… more
- Wells Fargo (New York, NY)
- …(WFS LLC) and regional broker dealers, derivative operations that support its Swap Dealer (WFBNA) including regional branches, and its Global Payments Services, ... as with senior management, COOs, Business Control Managers and partner functions (eg, Compliance , Risk, Operations, Technology, and Legal). In this role you will: +… more
- City National Bank (New York, NY)
- …of recommendations identified through 1st, 2nd, 3rd LOD and external regulatory examinations, monitoring and testing . + Analyze findings and perform root cause ... Markets activity is conducted under bank permissible activities, not under registered swap dealer or broker dealer activity. This role is responsible for ongoing… more