- SMBC (Jersey City, NJ)
- …**Role Description** SMBC's Compliance Department Americas Division is seeking a VP of Swap Dealer Compliance Monitoring & Testing (M&T). The VP ... a team member for M&T annual planning, monitoring and testing reviews. This role will have coverage for SMBC's... reviews. This role will have coverage for SMBC's Swap Dealer operations. The candidate should have… more
- Citigroup (Jersey City, NJ)
- …compliance testing reviews and regulatory issue validation activities related to **Volcker, Swap Dealer (CFTC and SBSD) testing programs and Financial ... as a compliance risk officer for Independent Compliance Risk Management (ICRM)'s Testing team responsible for assessing compliance risks and controls implemented by… more
- Citigroup (New York, NY)
- The Swap Dealer Compliance Senior Vice President will serve as a key contributor on the team responsible for coordinating Citi's global Swap ... Dealer and Security-Based Swap Dealer Independent Compliance Risk Management (ICRM) program. The individual...other regulators as well as to internal reviews from testing and audit. + Advising the business and control… more
- MUFG (New York, NY)
- …and familiarity with Broker - Dealer and applicable regulations, such as DFA Swap Dealer , Volcker and FINRA, SEC and NASD rules. + Experience working with ... execution of the end-to-end audit process (eg planning, fieldwork testing , reporting, issues validation, etc.). The Senior Auditor I...May supervise staff during an audit engagement at the VP Level and below. **Major Responsibilities:** + Act as… more
- SMBC (Jersey City, NJ)
- …portfolio of benefits to its employees. **Role Description** SMBC Group is seeking a Vice President for the Compliance Risk Assessment team ("CRA team") within ... and Control Assessment. As a Compliance Risk Assessment ("CRA") Vice President , this role will assist in...encompass SMBC Group's Americas Division, inclusive of US Broker Dealer and registered swap dealer ;… more
- SMBC (New York, NY)
- …Risk Management Department Americas Division (RMDAD) has an opening for an Associate/ Vice President in the Liquidity Risk Management Group. This position ... within the Liquidity Risk Oversight Team. The Liquidity Risk Associate/ VP will provide ongoing review and challenge to the...of business lines includes traditional banking (including digital bank), swap dealer and broker dealer .… more
- Mizuho Corporate Bank (New York, NY)
- …to add value and improve Mizuho Bank's US operations including derivative activities, broker dealer and swap dealer businesses. Based in the New York ... Internal Audit seeks a candidate to fill an Assistant Vice President role for the Compliance area....drug-free workplace and reserve the right to require pre- and post-hire drug testing as permitted by applicable law.… more