- 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 Our people work differently depending on their jobs and needs. From… more
- SMBC (Jersey City, NJ)
- …Monitoring and Testing team to perform testing of its broker / dealer (SMBC Nikko Securities America, INC). The Vice President is responsible for ... principally serve as a team lead for monitoring and testing engagements. The Vice President ...Series 7,63, 24) are desired + Has a Compliance Testing , Broker Dealer Regulatory or… 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
- HSBC (New York, NY)
- …compliance requirements applicable to the businesses + Swap Dealer and Broker Dealer compliance control testing experience + Strong managerial, ... of Defense (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: + Utilize… 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