- Citigroup (Jersey City, NJ)
- Serves as a senior compliance risk analyst for Independent Compliance Risk Management (ICRM)'s Compliance Testing team responsible for assessing ... by Citi's first and second line of defense. The Compliance Testing Sr. Analyst performs risk-based ...**Qualifications:** + 5-8 years of experience + Understanding of Global Markets business activities and products, preferably… more
- Citigroup (Jersey City, NJ)
- …covering middle and back office Operations activities within the Global Markets business, in accordance with the Compliance Independent Assessment (CIA) ... reported issues. Key Activities include: + Participating in the planning, executing, and reporting of compliance testing reviews and regulatory issue validation… 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 ... of the department and the business._ Senior Monitoring and Testing Compliance Assurance Officer reportingto the US...the industry. **Education and Experience:** + 10+ years of global compliance and audit related experience, and… more
- JPMorgan Chase (Brooklyn, NY)
- …This is a unique opportunity for someone interested in treasury concepts, capital markets and stress testing to contribute to the firm's financial resilience ... across the organization to develop your expertise in stress testing in deep market and idiosyncratic scenarios...and model review. + Familiarity with regulatory requirements and compliance . + Experience in stress testing or… more
- Bank of America (New York, NY)
- …us! **Job Description:** This role will use expertise gained auditing Global Markets or closely related areas (ie market risk management, product control or ... Audit Supervisor - Global Markets (FICC) New York, New...of products in each of these businesses in a market making capacity, include cash securities, futures, and derivatives.… more
- Bank of America (New York, NY)
- Global Markets Senior Risk Manager New York, New York **Job Description:** At Bank of America, we are guided by a common purpose to help make financial lives ... Join us! **Job Description:** This job is responsible for the local and/or global management and direction of applicable market related risk management functions… more
- Bank of America (New York, NY)
- Global Markets Risk Sr Manager New...trading desk and other risk and support groups (ie, Compliance , Finance, Operations, etc.). Senior market risk ... a major driver of both revenue and risk for Global Markets . This role requires close interaction...Written Communications + Issue Management + Monitoring, Surveillance, and Testing + Regulatory Compliance + Technical Documentation… more
- Bank of America (New York, NY)
- Global Markets Risk Manager (AVP/VP) - Mortgages and Securitized Products New York, New York **Job Description:** At Bank of America, we are guided by a common ... This job is responsible for the analysis, monitoring and reporting applicable market related risks taken within Global Mortgages and Securitized Products.… more
- JPMorgan Chase (Brooklyn, NY)
- …and gain exposure across the organization to develop your expertise in stress testing in deep market and idiosyncratic scenarios considered in Recovery and ... role where you can further develop your knowledge of Markets businesses, use your analytical and quantitative skills and...and model review. + Familiarity with regulatory requirements and compliance . + Experience in stress testing or… more
- S&P Global (New York, NY)
- …division. As a Compliance Director, you'll play a pivotal role in our global compliance team, ensuring that our Compliance Program for the indices ... Level (for internal use):** 12 **About the Role:** S&P Global is seeking a Compliance Director to...At S&P Global , we focus on Powering Global Markets . Throughout our history, the world's… 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 ... provides our clients an important bridge to this key global market for trade and investment flows...issues and execute action plans for Internal Audit and Compliance Testing findings assigned to Compliance… more
- Bank of America (New York, NY)
- Audit Manager - Global Markets - Electronic Trading New York, New York **Job Description:** At Bank of America, we are guided by a common purpose to help make ... management to improve the control environment + Utilize yoursoundanalytical skills and Global Markets Electronic Trading expertise to execute assigned audit … more
- NatWest Markets (Stamford, CT)
- …emerging risks, trends and issues across the industry. **Education and Experience:** + Global compliance and audit related experience, and a knowledge of ... defence. The role is an effective part of the Compliance Assurance testing program and will be...in the Broker Dealer, Bond, Repo, Treasuries and Capital Markets business + Sound knowledge of broker dealer regulations,… more
- Bank of America (New York, NY)
- Senior Technology Manager - Global Markets Low Latency SOR Manager New York, New York **Job Description:** At Bank of America, we are guided by a common purpose ... standards, audit exams and reviews), ensuring all relevant risk, financial, and compliance policies are met + Manages relationships with business and technology… more
- SMBC (Jersey City, NJ)
- …and/or Certifications, is preferred. + At least 10 years of prior regulatory, compliance testing , audit and/or risk management experience with demonstrated track ... clients. It connects a diverse client base to local markets and the organization's extensive global network....Division ("CPAD") is seeking a Vice President of BSA/AML Compliance Monitoring and Testing . The Vice President… more
- SMBC (Jersey City, NJ)
- …Degree and/or Certifications (ie FINRA Series 7,63, 24) are desired + Has a Compliance Testing , Broker Dealer Regulatory or Internal Audit Background + Strong ... clients. It connects a diverse client base to local markets and the organization's extensive global network....Americas Division is seeking a Vice President of the Compliance Monitoring and Testing team to perform… more
- SMBC (Jersey City, NJ)
- …institutional, and municipal clients. It connects a diverse client base to local markets and the organization's extensive global network. The Group's operating ... SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with...Department Americas Division ("CPAD") is seeking an Analyst for Compliance Monitoring and Testing . The Analyst is… more
- SMBC (Jersey City, NJ)
- …Banking and Compliance Experience. + CRCM certification a plus. + Has a Compliance Testing , Bank Regulatory or Internal Audit background. + Able to work ... clients. It connects a diverse client base to local markets and the organization's extensive global network....testing engagements to validate the efficacy of regulatory compliance internal controls. This role will have coverage for… more
- Bank of America (New York, NY)
- …the Investigators specific area of responsibility, specifically focused on Special Investigations, Global Markets , or Global Wealth and Investment ... Global Financial Crimes Compliance (GFCC) Investigator...to investigations teams responsible for coverage over Special Investigations, Global Markets , or Global Wealth… more
- KPMG (New York, NY)
- **Business Title:** Manager, Financial Services Client Onboarding (KYC), Capital Markets **Requisition Number:** 117438 - 68 **Function:** Advisory **Area of ... we don't anticipate that slowing down. In this ever-changing market environment, our professionals must be adaptable and thrive...end to end delivery of large to medium value global engagements related to onboarding and KYC, back-office operations… more