- 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
- TEKsystems (Jersey City, NJ)
- …of experience within swap dealer compliance . - Experience conducting compliance reviews. - Monitoring testing experience and procedural scripts. - ... NFA and CFTC rules and regulations. Description: - Conduct compliance reviews of swap dealer operations to...for improvement. - Develop and maintain detailed documentation of testing and review findings. - Utilize Bloomberg and other… more
- TD Bank (New York, NY)
- …they should be tracked + Utilize the Firm's in-house system, Merlin, for TDS US Compliance monitoring and testing activities + Provide review and challenge ... oversee Oversight Program over first line and second line Monitoring and Testing Activities + Conduct Quality... testing activities to ensure that first line testing effectively meets standards for coverage of compliance… 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
- Bank of America (New York, NY)
- …governance and management routines + Oversees risk coverage plans, execution of monitoring , testing and risk assessments and communicates results, escalating ... Swap (SBS) Enterprise Area of Coverage (EAC) Global Compliance & Operational Risk (GCOR) Officer is a subject...the implementation of related remediation; * Assist in developing Monitoring & Testing to review and challenge… 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
- 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
- Wells Fargo (New York, NY)
- …(WFS LLC) and regional broker dealers, derivative operations that support its Swap Dealer (WFBNA) including regional branches, and its Global Payments Services, ... as with senior management, COOs, Business Control Managers and partner functions (eg, Compliance , Risk, Operations, Technology, and Legal). In this role you will: +… 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
- SMBC (New York, NY)
- …processes, and procedures designed to ensure risk identification, aggregation, mitigation, and monitoring capabilities in compliance with the sound operation of ... develop key risk categories and risk identification in full compliance with relevant regulations. 3. Assist in the development...Frank Act, CFTC Rule 23.600, the Volcker Rule, and Swap Dealer registration requirements, SR 11-07, SR 11-10, etc.)… more