- 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 (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
- 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 (Jersey City, NJ)
- … 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
- Mizuho Corporate Bank (New York, NY)
- …and developing and implementing compliance controls and programs such as: + Compliance testing , surveillance and monitoring + Drafting and implementing ... regulations, and rules applicable to MCM, a registered Security Based- Swap Dealer and registered Swap Dealer; MMA,...advisory partners to address and resolve issues identified during testing and monitoring and provided compliance… 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
- Randstad US (New York, NY)
- …Export, Data Pump, and Transportable Tablespace. + Performed OS file system utilization monitoring , swap usage, CPU utilization, file I/O, and network tracing ... /Windows server requests built to corporate standards o Performance monitoring and optimization of all ArcGIS / ArcFM Environments...and Oracle. + Monitored OS file system, I/O, CPU, SWAP , memory and network utilizations on UNIX and Windows… 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