- 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 Closing date for applications: 31/12/2199 Stamford,United States Permanent Full Time \#R-00245532 Our people work differently… 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
- TD Bank (New York, NY)
- …partners and groups. + 6 or more years of experience with a registered US broker dealer or regulator. + Knowledge of wholesale banking products and services, ... Compliance risk coverage planning that will support the Compliance Monitoring & Testing (M&T) program. Additionally, this role will be responsible for building out… more
- JPMorgan Chase (Jersey City, NJ)
- …the status quo and striving to be best-in-class. As a Surveillance Lead Vice President within the North America Information Barrier Trade Surveillance team, ... business needs **Preferred qualifications, capabilities, and skills** + Relevant regulatory or broker - dealer experience such as a role in Compliance, Trade… 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
- TD Bank (New York, NY)
- …partners and groups. + 6 or more years of experience with a registered US broker dealer or regulator. + Knowledge of wholesale banking products and services, ... ongoing support of the Risk Assessment roadmap to support Monitoring & Testing (M&T) coverage efforts **Depth & Scope:** Regulatory Compliance Management (RCM)… more
- JPMorgan Chase (Jersey City, NJ)
- …requirements (eg, 12 CFR 9) related to asset management, investment advisor, broker - dealer and fiduciary activities. + Knowledge of various financial ... you will execute the annual audit plan, manage audit engagements, perform audit testing and participate in control and governance forums. Job responsibilities + Lead… more
- JPMorgan Chase (Jersey City, NJ)
- …manner + Knowledge of applicable laws and regulatory requirements related to broker / dealer and fiduciary activities + Strong interpersonal and influencing ... annual audit plan, manage audit engagements, oversee and perform audit testing , and participate in applicable control and governance forums. **Job responsibilities**… more
- BMO Financial Group (New York, NY)
- …reviews, Deal reports, risk assessments and attestations. **KEY ACCOUNTABILITIES** The Vice President , Investment Banking CMS will have responsibility for ... mitigate risk and support compliant revenue generating activities. The Vice President will act as a liaison...in a Compliance or Regulatory function covering a major Broker - Dealer . + 5-7 years of relevant experience… 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
- 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