- NatWest Markets (Stamford, CT)
- Swap Dealer Testing VP Closing date for applications: 06/02/2025 Stamford,United States Permanent Full Time \#R-00249217 Our people work differently ... as necessary to ensure the proper operations of the department and the business._ ** Swap Dealer Testing VP (2LOD)** Reporting to the Senior Monitoring… more
- SMBC (Jersey City, NJ)
- …**Role Description** SMBC's Compliance Department Americas Division is seeking a VP of Swap Dealer Compliance Monitoring & Testing (M&T). The VP ... reviews. This role will have coverage for SMBC's Swap Dealer operations. The candidate should have...and Skills** + 7+ years of swap dealer experience + Has a Compliance Testing ,… more
- MUFG (New York, NY)
- …and familiarity with Broker - Dealer and applicable regulations, such as DFA Swap Dealer , Volcker and FINRA, SEC and NASD rules. + Experience working with ... 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
- 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...of business lines includes traditional banking (including digital bank), swap dealer and broker dealer .… more
- Mizuho Corporate Bank (New York, NY)
- …to add value and improve Mizuho Bank's US operations including derivative activities, broker dealer and swap dealer businesses. Based in the New York ... Internal Audit seeks a candidate to fill an Assistant Vice President role for the Compliance area....drug-free workplace and reserve the right to require pre- and post-hire drug testing as permitted by applicable law.… more