- Amalgamated Bank (New York, NY)
- The Head of Compliance Monitoring & Testing is responsible for ensuring compliance with regulatory requirements and internal policies across ... a compliance risk assessment; develop and implement a comprehensive compliance monitoring and testing program to assess adherence to regulatory… more
- SMBC (New York, NY)
- …and ensuring they are appropriately managed and mitigated. + Monitoring and Testing : Oversee the Compliance Monitoring and Testing Program, ... **Role Description** The Head of Risk Assessment, Monitoring and Testing , and Regulatory Change Management...This role is tasked with leading three key functions: Compliance Risk Assessment, Monitoring and Testing… more
- SMBC (Jersey City, NJ)
- … Department Americas Division is seeking a Vice President of Banking (Americas Team) Compliance Monitoring and Testing . The Vice President is responsible for ... will also support the Annual Plan efforts with the Head of Americas Team and Head of...Serves as the examiner-in-charge responsible for all facets of compliance monitoring and testing engagements.… more
- Citigroup (New York, NY)
- …Compliance and AB&C. **Responsibilities:** + Design, Develop, implement, and execute the compliance independent assessment monitoring and testing plan for ... to identify issues/problems and devise recommendations for complex situations. **Global Head Compliance Independent Assessment for AML, Sanctions and AB&C**… more
- SMBC (New York, NY)
- …procedures for optimized efficiency and productivity + Set strategic priorities with the Head of Compliance Surveillance to identify areas of focus and identify ... of managerial and administrative tasks, including tracking deliverables to internal audit and Monitoring & Testing + Build and develop relationships with all … more
- SMBC (Jersey City, NJ)
- …SMBC's Compliance Department Americas Division is seeking a VP of Swap Dealer Compliance Monitoring & Testing (M&T). The VP is responsible for execution ... serve as a team member for M&T annual planning, monitoring and testing reviews. This role will...7+ years of swap dealer experience + Has a Compliance Testing , NFA or Internal Audit background… more
- Citigroup (New York, NY)
- Head of Capital Management is an enterprise Strategic role for Citigroup, owning the enterprise-wide capital planning and management processes for the group, and its ... the enterprise's Strategic Planning capability. As a part of this process, the Head of Capital Management manages the enterprise's Capital Stress Testing … more
- Citigroup (New York, NY)
- …provide compliance advisory services, design key risk indicators and compliance monitoring programs, identify reporting metrics associated with regulatory ... related remediation. + Conduct and supervise regulatory risk assessments and monitoring / testing thought leadership, creating action plans to mitigate identified… more
- Wells Fargo (New York, NY)
- …its Global Payments Services, Mortgage Servicing, FCM, and Prime Services businesses. The Head of Trade Surveillance Subject Matter Experts (SMEs) will report to the ... Global Head of Trade Surveillance and will be responsible for...management, COOs, Business Control Managers and partner functions (eg, Compliance , Risk, Operations, Technology, and Legal). In this role… more
- City National Bank (Jersey City, NJ)
- **ENGINEERING HEAD OF SECURITIES AND TRUST SOLUTIONS** **WHAT IS THE OPPORTUNITY?** The ideal candidate for the Engineering Head of Securities and Trust ... the process. + Promote a culture of high-quality coding with a focus on automated testing and validation, adhering to the You Build You Own (YBYO) model. + Handle… more
- Citigroup (New York, NY)
- The Testing and Monitoring Director will support the Head of RRP Non-Financial Capabilities, Controls, and Testing in defining and maintaining the ... testing framework, guidance, and test plan for capability testing and monitoring . They will develop standardized testing templates and collaborate with… 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
- Bloomberg (New York, NY)
- …by localized or domain-specific teams. **We'll trust you to:** + Support the Global Head of Risk and Compliance Shared Services, the global Chief Compliance ... risk management program + Coordinating or conducting relevant risk monitoring and testing routines on a risk-focused...Managing ad hoc assignments as directed by the Global Head of Risk Assurance and Testing Oversight… more
- Scotiabank (New York, NY)
- …Compliance officers to identify regulatory risks and integrate regulatory controls and monitoring into the overall technology control testing plan. + Document ... monitor progress of remedial actions for issues identified through Technology Control testing and by others, including Internal Audit, Compliance , regulators,… more
- S&P Global (New York, NY)
- …Contribute to compliance investigations and reviews. + Define and execute compliance monitoring activities. + Actively engage in relevant divisional and ... best practices. This role will report directly to the Head of Compliance , SPDJI. **Responsibilities and Impact:**...matters and actively participate in relevant committees. + Develop monitoring processes to ensure adherence to key policies and… 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
- S&P Global (New York, NY)
- … Compliance Program Advisor will report to and work directly with the Head of Global Financial Crimes Compliance Program Office within S&P Global Enterprise ... detail and a solution oriented mindset + Experience with other Financial Crimes Compliance areas including internal testing , tracking, and advising on … more
- SMBC (New York, NY)
- …the control environment including issues management, audits/reviews, Annual Risk Assessment, testing of controls and customer remediation. Ensures compliance in ... the team's goals and strategic direction of the Bank. Position reports directly to the Group Head of LMG and has dotted line reporting to the Group Head of the… more
- Mizuho Corporate Bank (New York, NY)
- …US Operations of Mizuho Financial Group. It is responsible for ensuring compliance with Enhanced Prudential Standards (EPS) liquidity requirements for Foreign Bank ... such as the broker dealer and derivative trading entities. You will report to the head of Mizuho Americas Market and Liquidity Risk Management, a 2nd Line of Defense… more
- SMBC (Jersey City, NJ)
- …Reporting to the Data Analytics Director, FCC Analytics, in the Compliance Department, Americas Division, the Sanctions Data Analytics Manager, VP, performs ... data. They will develop reports for use by SMBC Americas Division and Head Office stakeholders and performs analysis in support of the design, implementation, and… more