- NatWest Markets (Stamford, CT)
- …be assigned as necessary to ensure the proper operations of the department and the business._ ** Broker Dealer Testing VP ** This role will report to the ... Broker Dealer Testing , VP Stamford,United States Permanent Full Time \#R-00245532 Our people work differently depending on their jobs and needs. From… more
- SMBC (Jersey City, NJ)
- …Monitoring and Testing team to perform testing of its broker / dealer (SMBC Nikko Securities America, INC). The Vice President is responsible for ... principally serve as a team lead for monitoring and testing engagements. The Vice President ...Series 7,63, 24) are desired + Has a Compliance Testing , Broker Dealer Regulatory or… more
- TD Bank (New York, NY)
- …partners and groups. + 6 or more years of experience with a registered US broker dealer or regulator. + Knowledge of wholesale banking products and services, ... Compliance risk coverage planning that will support the Compliance Monitoring & Testing (M&T) program. Additionally, this role will be responsible for building out… more
- JPMorgan Chase (Jersey City, NJ)
- …the status quo and striving to be best-in-class. As a Surveillance Lead Vice President within the North America Information Barrier Trade Surveillance team, ... business needs **Preferred qualifications, capabilities, and skills** + Relevant regulatory or broker - dealer experience such as a role in Compliance, Trade… more
- TD Bank (New York, NY)
- …similar degree, required. + 7 or more years of experience with a registered US broker dealer , regulator, or global financial organization. + JD desirable but not ... key member of the TDS US Compliance Monitoring and Testing Team and Core Compliance Group. The Monitoring and... Team and Core Compliance Group. The Monitoring and Testing Team sits in Core Compliance and covers the… more
- MUFG (New York, NY)
- …Risk Management with demonstrated familiarity including Sales and Trading; and familiarity with Broker - Dealer and applicable regulations, such as DFA Swap ... 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
- TD Bank (New York, NY)
- …partners and groups. + 6 or more years of experience with a registered US broker dealer or regulator. + Knowledge of wholesale banking products and services, ... ongoing support of the Risk Assessment roadmap to support Monitoring & Testing (M&T) coverage efforts **Depth & Scope:** Regulatory Compliance Management (RCM)… more
- JPMorgan Chase (Jersey City, NJ)
- …requirements (eg, 12 CFR 9) related to asset management, investment advisor, broker - dealer and fiduciary activities. + Knowledge of various financial ... you will execute the annual audit plan, manage audit engagements, perform audit testing and participate in control and governance forums. Job responsibilities + Lead… more
- JPMorgan Chase (Jersey City, NJ)
- …manner + Knowledge of applicable laws and regulatory requirements related to broker / dealer and fiduciary activities + Strong interpersonal and influencing ... annual audit plan, manage audit engagements, oversee and perform audit testing , and participate in applicable control and governance forums. **Job responsibilities**… 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...will 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...business lines includes traditional banking (including digital bank), swap dealer and broker dealer . Product… more
- Mizuho Corporate Bank (New York, NY)
- …designed to add value and improve Mizuho Bank's US operations including derivative activities, broker dealer and swap dealer businesses. Based in the New ... 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