- 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 Share: (https://jobs.natwestgroup.com/jobs/15202378- broker -… 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
- HSBC (New York, NY)
- …compliance requirements applicable to the businesses + Swap Dealer and Broker Dealer compliance control testing experience + Strong managerial, ... of Defence (2LOD) function that undertakes risk-based monitoring and testing of processes and outcomes of First Line of...reviews on issues, opportunities and/or strategic change. As our VP Risk and Compliance Assurance you will: + Utilice… more
- MUFG (New York, NY)
- …technology with experience in Technology auditor. + Preferably worked in the Broker - Dealer world and handled multiple projects concurrently, dealt simultaneously ... availability of the Firm's information via risk assessments, audits, controls testing , policy and procedure and compliance initiatives and operational duties. The… 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