- 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
- 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
- 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 (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)
- …Control Inventory with other elements of the compliance framework including the Compliance Risk Assessment, Monitoring & Testing ; and the inventory of ... Description** SMBC Group is seeking a Director for the Compliance Risk Assessment team within the Compliance ...with risk and control assessments. Familiarity with securities and swap dealer laws, rules and regulations is a plus.… more
- HSBC (New York, NY)
- …to the businesses + Swap Dealer and Broker Dealer compliance control testing experience + Strong managerial, interpersonal, communications, analytical, ... our communities and the planet we all share. Control, Monitoring & Testing (CMAT) Generalist roles act...a close working relationship with key stakeholders, including the Compliance teams, Monitoring Teams, COOs and other… 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
- 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
- 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