- 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
- SMBC (Jersey City, NJ)
- …portfolio of benefits to its employees. **Role Description** The Regulatory Reporting Governance Vice President ) role is critical in ensuring the compliance with ... VP is responsible for ensuring a sound Controls testing function under a strong internal control framework. This...(eg FRY 9C and FFIEC009/009a reports), FRY 15 and broker dealer regulatory reporting requirements and report… 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
- SMBC (Jersey City, NJ)
- …Description** The SMBC Compliance Department monitors the corporate banking, investment banking and broker dealer activities of SMBC Group and reports on the ... administers the SMBC Employee Investment Policy, arranges for the registration of broker - dealer personnel, and conducts compliance training. In addition, the… 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
- SMBC (Jersey City, NJ)
- …matter expert in the Regulatory Reporting Automation for BHC, Branch, Liquidity or Broker Dealer regulatory reports. This position will provide leadership to the ... definitions, data sourcing strategies and data model preferred + Participate in Testing and Quality Assurance + Develop and maintain strong working relationships… more
- SMBC (Jersey City, NJ)
- …portfolio of benefits to its employees. **Role Description** SMBC Group is seeking a Vice President for the Compliance Risk Assessment team ("CRA team") within ... and Control Assessment. As a Compliance Risk Assessment ("CRA") Vice President , this role will assist in...will encompass SMBC Group's Americas Division, inclusive of US broker dealer and registered swap dealer… 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