- ManpowerGroup (Jersey City, NJ)
- …relevant rules. **Responsibilities** + Advise and implement enhancements to the overall Swap Dealer Compliance Program, including policies and procedures ... conflicts of interest and other issues that may arise in running the Swap Dealer Compliance Program + Advise the business on regulatory requirements,… more
- SMBC (Jersey City, NJ)
- …**Role Description** SMBC's Compliance Department Americas Division is seeking a VP of Swap Dealer Compliance Monitoring & Testing (M&T). The VP is ... testing reviews. This role will have coverage for SMBC's Swap Dealer operations. The candidate should have...Serves as the examiner-in-charge responsible for all facets of compliance M&T engagements. + Assists in the development and… more
- Citigroup (Jersey City, NJ)
- …Management (ICRM)'s Compliance Independent Assessment (CIA) Team responsible for assessing compliance with Volcker rule, Swap dealer requirements and ... 10+ years' managerial experience of large teams + Extensive global Volcker, Swap Dealer and Markets compliance and audit related experience, and strong… more
- Citigroup (Jersey City, NJ)
- …compliance testing reviews and regulatory issue validation activities related to **Volcker, Swap Dealer (CFTC and SBSD) testing programs and Financial Markets ... Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)'s Testing team responsible for assessing compliance risks and controls… more
- SMBC (Jersey City, NJ)
- …of this function will encompass SMBC Group's Americas Division, inclusive of US Broker Dealer and registered swap dealer ; SMBC Group's wholesale and retail ... SMBC Group is seeking a Vice President for the Compliance Risk Assessment team ("CRA team") within the ...of either US banking regulations (FRB, FDIC, CFPB) or securities/ swap dealer regulations (SEC, CFTC, FINRA, NFA)… more