- ManpowerGroup (New York, NY)
- …coverage over the banks Swap Dealer Operations. **Job Title: Vice President , Compliance Monitoring & Testing (Swaps)** **Location: New York, NY ... top banking client is seeking a Vice President of Compliance Monitoring & Testing...rules and regulations. **What's Needed?** + 7+ years of swap dealer experience + Compliance Testing… more
- SMBC (Jersey City, NJ)
- …Description** SMBC's Compliance Department Americas Division is seeking a VP of Swap Dealer Compliance Monitoring & Testing (M&T). The VP is ... and Skills** + 7+ years of swap dealer experience + Has a Compliance Testing , NFA or Internal Audit background + Able to work independently on projects with… 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") ... role will report to the Director who serves as Compliance Risk Assessment team leader and will assist in...assessment process will be utilized to drive monitoring and testing initiatives and refocus resources as new emergent risks… more
- TD Bank (New York, NY)
- …Core Compliance program as needed. **Depth and Scope:** + Execute the annual Compliance testing and monitoring plan + Lead testing engagements, sometimes ... approach and the overall results and findings of the compliance testing review. + Build relationships with...firm. + Proficient in Word, Excel and PowerPoint The VP Compliance TDS oversees/leads a team(s) of… more
- Mizuho Corporate Bank (New York, NY)
- …developing and implementing compliance controls and programs such as: + Compliance testing , surveillance and monitoring + Drafting and implementing ... key compliance risks Job Responsibilities + Conduct compliance testing of policies, procedures, and controls...regulations, and rules applicable to MCM, a registered Security Based- Swap Dealer and registered Swap Dealer; MMA,… more
- Mizuho Corporate Bank (New York, NY)
- …compliance developments, issues and key compliance risks Summary ACD seeks a Vice President , Compliance Monitoring within the Compliance Risk ... developing and implementing compliance controls and programs such as: + Compliance testing , surveillance and monitoring + Drafting and implementing … more
- Mizuho Corporate Bank (New York, NY)
- …compliance developments, issues and key compliance risks Summary ACD seeks a Vice President , Compliance Risk Assessment within the Compliance Risk ... developing and implementing compliance controls and programs such as: + Compliance testing , surveillance and monitoring + Drafting and implementing … more
- SMBC (New York, NY)
- …options, currency futures, treasury futures & options, etc Therefore, CM is seeking a Vice President within its Risk Management Department. The role will report ... risk governance framework across CUSO under FRB regulations. 2. Monitors the firms compliance with the Volcker Rule and produces monthly analysis. 3. Assists Group… more