- 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
- ManpowerGroup (Jersey City, NJ)
- …within the OTC derivatives and securities-based swaps businesses a plus + Assist with the monitoring , and testing of compliance programs If this is a role ... Our client is seeking a Compliance , Swap Dealer to join their...conduct, margin among other areas + Assist in developing monitoring and testing to review and challenge… 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
- Citigroup (Jersey City, NJ)
- …and in implementation of cost effective and technology enabled innovative solutions in compliance monitoring , testing , and reporting + Effective negotiation ... Compliance Independent Assessment (CIA) Team responsible for assessing compliance with Volcker rule, Swap dealer requirements...across all lines of defense and overseeing CIA activities ( testing and monitoring ) to assess the design… 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)
- …needed. The results of the CRA are utilized to drive monitoring and testing activities and to prioritize Compliance and other resources as new emergent risks ... respect to documenting key controls as well as driving monitoring and testing plans. **Qualifications and Skills**...strong plus (but not required). + Experience in a Compliance Testing or Audit role focused on… more
- SMBC (New York, NY)
- …of benefits to its employees. **Role Description** SMBC is seeking an experienced Compliance Senior Auditor with 3 to 5 years' compliance audit experience ... Department (IAD). The Senior Auditor will participate in the execution of compliance -related internal audits of various complexities and perform audit work in… 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
- CBRE (Secaucus, NJ)
- …Perform remote hands support (eg power cycles, physical environment, and cablinginspections, swap out failed components, hardware upgrades, testing of copper and ... replacing failed components; and overall general maintenance & day-to-day operations compliance of the DCS IT services. **ESSENTIAL DUTIES AND RESPONSIBILITIES** IT… more