- 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
- SMBC (Jersey City, NJ)
- …Control Inventory with other elements of the compliance framework including the Compliance Risk Assessment, Monitoring & Testing ; and the inventory of ... Department Americas Division ("CPAD"). This role reports to the Executive Director, Head of Compliance Risk Assessment and will lead the management of the … 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
- 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)
- 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
- 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
- SMBC (New York, NY)
- …and to coordinate all cross-border business transactions and activities. The SMBC compliance Department is responsible for monitoring the handling of sensitive ... portfolio of benefits to its employees. **Role Description** The SMBC Compliance Department monitors the corporate banking, investment banking and broker dealer… 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
- Citigroup (New York, NY)
- …covering risk identification, measurement (including risk appetite and stress testing ), monitoring , reporting (including data management), escalation workflows ... and climate risk. The group is headed by the Head of ERM who reports directly to the Citigroup...* Manage program strategy and planning within the Risk Monitoring and Reporting program including defining the strategy and… 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
- Mizuho Corporate Bank (New York, NY)
- …the annual review plan by conducting independent credit reviews to ensure compliance with Bank policies and procedures as well as adherence with regulatory ... discounted cash flow analysis. + Assess the sufficiency of credit risk monitoring programs, relevant performance covenants and monitoring guidelines and trigger… more
- Hackensack Meridian Health (Hackensack, NJ)
- …the Hackensack Meridian Health (HMH) network. Processes to be performed in compliance with established goals, revenue cycle activities, and regulations. Manages the ... including all related electronic data interchange (EDI) transactions. Performs testing and validation for upgrades, system modifications and regulatory mandated… more
- Scotiabank (New York, NY)
- …governance framework is preferred including understanding of Supervision, Surveillance & Monitoring , Trade Floor Supervision, Risk and Control Library etc. **What ... systems and knowledge. + Lead and assist in design and operating effectiveness testing to verify adequacy of controls for managing operations risks in trading… more
- Walmart (Hoboken, NJ)
- …meets legal, ethical, and company standards. + Conduct regular testing and monitoring to identify and mitigate compliance risks, and to ensure ad policy ... committed to delivering innovative solutions and ensuring the highest standards of compliance and integrity. We are seeking a highly experienced and strategic Senior… more
- SMBC (Jersey City, NJ)
- …to its employees. **Role Description** Conduct Management Officer will report to the Head of Conduct Risk and Culture with responsibility for assisting with the ... creation of training and communications content; contribution to the development and monitoring of KRIs and metrics; supporting risk assessment and testing … more