- Citigroup (Jersey City, NJ)
- Serves as a compliance testing officer for Independent Compliance Risk Management (ICRM)'s Independent Assessment team responsible for assessing ... to address reported issues. Key Activities include: + Developing, implementing, and executing compliance testing and reporting programs in accordance with the … more
- NatWest Markets (Stamford, CT)
- Senior Monitoring and Testing Compliance Assurance Officer - Swap Dealer Stamford,United States Permanent Full Time \#R-00244248 Our people work differently ... the proper operations of the department and the business._ Senior Monitoring and Testing Compliance Assurance Officer reportingto the US General Counsel… more
- Citigroup (Jersey City, NJ)
- Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM) testing team responsible for assessing compliance risks and ... + Participating in the planning, executing, and reporting of compliance testing reviews and regulatory issue validation...middle and back office Operations activities within the Global Markets business, in accordance with the Compliance … more
- NatWest Markets (Stamford, CT)
- …**Swap Dealer Testing VP (2LOD)** Reporting to the Senior Monitoring and Testing Compliance Assurance Officer this role is responsible for assessing ... compliance risks and controls within the Swap Dealer testing program. The candidate will be part of an...and tuition reimbursement. **It is the policy of NatWest Markets Securities Inc. and its parent, affiliates and/or subsidiaries… more
- Scotiabank (New York, NY)
- Senior Manager, Markets Compliance Officer **Requisition ID:** 204138 **Salary Range:** 110,700.00 - 211,800.00 _Please note that the Salary Range shown is a ... in an inclusive and high-performing culture. **Global Banking and Markets ** Global Banking and Markets (GBM) is...issues and execute action plans for Internal Audit and Compliance Testing findings assigned to Compliance… more
- Citigroup (New York, NY)
- Opening is for a Market Risk Officer focused on North America NAM G10 Linear Rates desk. Successful candidate would join an existing team based in NYC focused on ... North America Rates Trading business is a significant component of a global markets franchise providing interest rate market -making and solutions to customers.… more
- S&P Global (New York, NY)
- …**Grade Level (for internal use):** 12 **About the Role:** S&P Global is seeking a Compliance Director to join our Compliance Team for the S&P Global Dow Jones ... Indices (SPDJI) division. As a Compliance Director, you'll play a pivotal role in our global compliance team, ensuring that our Compliance Program for the… more
- SMBC (White Plains, NY)
- …and municipal clients. It connects a diverse client base to local markets and the organization's extensive global network. The Group's operating companies in ... Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets , Inc., SMBC MANUBANK, JRI America, Inc., SMBC Leasing...the current compensation paid in their geography and the market for similar roles at the time of hire.… more
- S&P Global (New York, NY)
- …We are looking for a pro-active and forward-thinking Business Information Security Officer that is well versed in information security management principles and ... driving security practices within the business unit. As the Business Information Security Officer , you will be the Cyber Security & Assurance primary point of… more
- Morgan Stanley (Purchase, NY)
- …with Stakeholders* o Work closely with internal teams such as Audit and Compliance Testing to address questions about business processes and controls. Provide ... deposits and cash management, annuities, insurance, retirement, and trust services. As a market leader, the talent and passion of our people is critical to our… more
- Citigroup (New York, NY)
- …Use parallel computing techniques to perform models back testing , stress testing , and profit attribution analysis. Support compliance efforts in response to ... Citibank, NA seeks a Model/Analysis/Validation Officer for its New York, New York location....for its New York, New York location. Duties: Support market risk modeling and analytics projects for Fundamental Review… more
- SMBC (New York, NY)
- …and municipal clients. It connects a diverse client base to local markets and the organization's extensive global network. The Group's operating companies in ... Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets , Inc., SMBC MANUBANK, JRI America, Inc., SMBC Leasing...the current compensation paid in their geography and the market for similar roles at the time of hire.… more
- Amalgamated Bank (New York, NY)
- The Deputy Chief Audit Officer (DCAO) supports the Chief Audit Executive in leading the internal audit function, ensuring compliance with regulatory ... with the goal of mitigating risk. + Oversee the Sarbanes-Oxley (SOX) controls testing + Oversight of Co-Source partner relationships. + Assist with Budget vs Actual… more
- Citigroup (New York, NY)
- …(where possible) that will enable the business to make rapid decisions against market condition changes + Ensures the compliance of development and validation ... The Model/Anlys/Valid Sr Officer I is a strategic professional who closely...measuring and analyzing risk, for all risk types including market , credit and operational. Also, may develop, validate and… more
- CIBC (New York, NY)
- …please visit CIBC.com (https://www.cibc.com/en/about-cibc.html) Reporting to the Swap Dealer Chief Compliance Officer , the Director, RCM Portfolio Management is ... the RCM Program. + Support the Swap Dealer Chief Compliance Officer to design and produce RCM... management context. + Experience in providing regulatory or compliance advice in connection with derivatives markets … more
- City National Bank (New York, NY)
- …of modification and enhancements of COI transaction monitoring models. Works with the Compliance Training Officer to ensure that ongoing management of the ... and regulatory requirements and industry best practices. * In conjunction with the Compliance Training Officer , develops, implements, and manages the Bank's COI … more
- M&T Bank (New York, NY)
- … Advisor must understand when situations warrant escalation to the M&T Bank Chief Compliance Officer , Legal, or when other consultation is needed. The ... This Senior Vice President level role provides guidance on complex compliance risk management activities within the Institutional Client Services department of… more
- Bank of America (Jersey City, NJ)
- …a difference. Join us! **Job Description:** This job is responsible for assisting the Compliance and Operational Risk officer team to execute second line of ... and maintains a comprehensive regulatory inventory **Skills:** + Monitoring, Surveillance, and Testing + Process Management + Regulatory Compliance + Reporting +… more
- BlackRock (New York, NY)
- …a senior member of the 1940 Act Compliance team reporting to the Chief Compliance Officer . The individual will be focused on supporting all aspects of the ... efficient indexing strategies designed to gain broad exposure to the world's capital markets . Our clients can access our investment solutions through a variety of… more
- Wellington (New York, NY)
- …of the Legal, Compliance and Risk Group and will report to the Chief Compliance Officer , Americas/Global Head of Funds Compliance , and work closely with ... that span nearly all segments of the global capital markets . Our investment solutions, tailored to the unique return...of our clients. **About the Role** The Senior Regulatory Compliance Analyst will support Wellington Management's compliance … more