- 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...experience + 7+ years of financial services experience + 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 Our people work ... the proper operations of the department and the business._ Senior Monitoring and Testing Compliance Assurance Officer reportingto the US General Counsel… 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
- Citigroup (Jersey City, NJ)
- …and in implementation of cost effective and technology enabled innovative solutions in compliance monitoring , testing , and reporting + Effective negotiation ... Compliance Independent Assessment (CIA) Team responsible for assessing compliance with Volcker rule, Swap dealer requirements...across all lines of defense and overseeing CIA activities ( testing and monitoring ) to assess the design… more
- Citigroup (Jersey City, NJ)
- …enhancement of the Compliance Testing Methodologies and Standards for testing , monitoring , and reporting. + Utilizing innovative compliance ... reported issues. **Key Activities include:** + Developing, implementing, and executing compliance testing , continuous assurance, and reporting programs within an… more
- Capital One (Mclean, VA)
- …requirements are met across all applicable lines of business specifically within the Swap Dealer Commercial Compliance Testing team. The Compliance ... a team leader, for the purpose of independently validating Swap Dealer activities and determining compliance with...or Business Administration - 3+ years of experience in compliance testing or monitoring -… more
- CIBC (New York, NY)
- …more about CIBC, please visit CIBC.com (https://www.cibc.com/en/about-cibc.html) Reporting to the Swap Dealer Chief Compliance Officer, the Director, RCM ... Portfolio Management is responsible for providing support to Swap Dealer Compliance ("SDC") to ensure the Bank's regulatory compliance risk is managed within… more
- Mizuho Corporate Bank (New York, NY)
- …and developing and implementing compliance controls and programs such as: + Compliance testing , surveillance and monitoring + Drafting and implementing ... team + Collection and analysis of pertinent data across Compliance functions to support Compliance Monitoring...Acceptances, Risk and Controls Self Assessment, and Internal Control Testing + Support and execute ad hoc requests for… more
- Mizuho Corporate Bank (New York, NY)
- …and improve Mizuho Bank's US operations including derivative activities, broker dealer and swap dealer businesses. Based in the New York Metro area, IADA staff ... a candidate to fill an Assistant Vice President role for the Compliance area. The candidate should demonstrate professionalism and relationship management skills… 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