- 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
- 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
- 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
- BMO Financial Group (New York, NY)
- …reviews, Deal reports, risk assessments and attestations. **KEY ACCOUNTABILITIES** The Vice President , Investment Banking CMS will have responsibility for ... mitigate risk and support compliant revenue generating activities. The Vice President will act as a liaison...in a Compliance or Regulatory function covering a major Broker - Dealer . + 5-7 years of relevant experience… 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