- SMBC (Jersey City, NJ)
- … Compliance Department Americas Division is seeking a VP of Swap Dealer Compliance Monitoring & Testing (M&T). The VP is responsible for execution of ... serve as a team member for M&T annual planning, monitoring and testing reviews. This role will...of swap dealer experience + Has a Compliance Testing , NFA or Internal Audit background… more
- NatWest Markets (Stamford, CT)
- Senior Monitoring and Testing Compliance Assurance Officer - Swap Dealer Stamford,United States Permanent Full Time \#R-00244248 Share: ... (https://jobs.natwestgroup.com/jobs/15076523-senior- monitoring -and- testing - compliance -assurance-officer- swap -dealer/apply?tm\_src=0) Our people work… more
- ManpowerGroup (Jersey City, NJ)
- …within the OTC derivatives and securities-based swaps businesses a plus + Assist with the monitoring , and testing of compliance programs If this is a role ... Our client is seeking a Compliance , Swap Dealer to join their...conduct, margin among other areas + Assist in developing monitoring and testing to review and challenge… more
- SMBC (New York, NY)
- … compliance . This individual will be responsible for bank, broker-dealer and swap dealer regulatory compliance across support functions. The individual will ... reminders as well as responses to support regulatory inquiries, examinations, audits and monitoring and testing . The individual must be familiar with US banking,… more
- SMBC (Jersey City, NJ)
- …needed. The results of the CRA are utilized to drive monitoring and testing activities and to prioritize Compliance and other resources as new emergent risks ... respect to documenting key controls as well as driving monitoring and testing plans. **Qualifications and Skills**...strong plus (but not required). + Experience in a Compliance Testing or Audit role focused on… more
- HSBC (New York, NY)
- …to the businesses + Swap Dealer and/or Broker Dealer compliance control testing experience + Strong interpersonal, communications, analytical, ... Second Line of Defence (2LOD) function that undertakes risk-based monitoring and testing of processes and outcomes... Assurance you will: + To use regulatory and testing knowledge to assess compliance controls implemented… more
- SMBC (New York, NY)
- …of benefits to its employees. **Role Description** SMBC is seeking an experienced Compliance Senior Auditor with 3 to 5 years' compliance audit experience ... Department (IAD). The Senior Auditor will participate in the execution of compliance -related internal audits of various complexities and perform audit work in… more
- Truist (Atlanta, GA)
- …Verification (IPV). This specialized job family framework includes promoting Truist's compliance with Board-stated risk appetite and regulatory standards across the ... Front Office traders and Controller teammates. 5. Partner with ongoing compliance efforts for regulatory requirements/guidance. 6. Assist in ensuring compliance… more
- Truist (Atlanta, GA)
- …Verification (IPV). This specialized job family framework includes promoting Truist's compliance with Board-stated risk appetite and regulatory standards across the ... risk as well as the Front Office traders. 5. Partner with ongoing compliance efforts for regulatory requirements/guidance. 6. Perform the activities which align with… more
- City National Bank (San Francisco, CA)
- …of recommendations identified through 1st, 2nd, 3rd LOD and external regulatory examinations, monitoring and testing . * Analyze findings and perform root cause ... Markets activity is conducted under bank permissible activities, not under registered swap dealer or broker dealer activity. This role is responsible for ongoing… more
- CBRE (Ashburn, VA)
- …Perform remote hands support (eg power cycles, physical environment, and cablinginspections, swap out failed components, hardware upgrades, testing of copper and ... replacing failed components; and overall general maintenance & day-to-day operations compliance of the DCS IT services. **ESSENTIAL DUTIES AND RESPONSIBILITIES** IT… more
- ANS Advanced Network Services LLC (Menands, NY)
- …system and DC power system test and turn up, and 24-7 maintenance and monitoring services. ANS provides these turnkey solutions to its customers and partners in the ... aspects of the CO / MSC (HDFB, DCS, Fiber testing , some equipment specific experience with Cisco 6500, 5508,...to discover and repair transmission faults + Repair or swap out defective and damaged devices, cabling, and all… more
- ManTech (Quantico, VA)
- …on-premises cloud services (ie, cloud tenant and hosting environments), including monitoring cloud services for optimized provisioning and on-site wargame execution ... networks + Manage subscriptions and access management + Run compliance reports on cloud services users and usage +...services to meet customer needs + Design and manage swap space in the cloud environment + Maintain cloud… more
- ManTech (Quantico, VA)
- …on-premises cloud services (ie, cloud tenant and hosting environments), including monitoring cloud services for optimized provisioning and on-site wargame execution ... networks + Manage subscriptions and access management + Run compliance reports on cloud services users and usage +...services to meet customer needs + Design and manage swap space in the cloud environment + Maintain cloud… more