- MUFG (Irving, TX)
- …their extra-territorial application. Experience with markets compliance , markets surveillance, compliance monitoring , auditing or testing reviews and/or ... day. A member of our recruitment team will provide more details. **Job Summary:** Americas Compliance Testing (ACT) is an integral part of the MUFG Regulatory … more
- TD Bank (New York, NY)
- …**Job Description:** This VP, Compliance is a key member of the TDS US Compliance Monitoring & Testing (M&T) Team, responsible for working on the ... + Assist with the development, implementation and coordination of the Compliance Monitoring program, including evaluating program design elements, analyzing… more
- TD Bank (New York, NY)
- …This Senior Compliance Officer is a key member of the TDS US Compliance Monitoring & Testing (M&T) Team, responsible for working on developing, ... Risk Owners to assist and show coverage alongside the Compliance testing and monitoring plan...years of experience with a registered US broker dealer, swap dealer, Global Systematically Important Bank (GSIB), or associated… more
- ADM (Chicago, IL)
- …Perform business communication testing within Smarsh system to ensure regulatory compliance . Take ownership of process from monitoring to follow-up and ... daily trading activity alerts within Validus system. + Perform testing and reviews of compliance policies and...a team to accomplish assigned projects + Experience with Swap related compliance requirements a plus +… more
- SMBC (New York, NY)
- …+ Policies and Procedures Management + Compliance Training + Issues Management + Monitoring & Testing + Compliance Risk Assessment + Communications and ... of benefits to its employees. **Role Description** The SMBC Compliance Advisory Function resides within Compliance Department...compliance experience at a broker dealer and or swap dealer preferred. BA/BS required. JD Preferred. Series 7,… more
- Capital One (Mclean, VA)
- …for trade maintenance, monitoring of life cycle events and reporting in compliance with Swap Dealer regulations. An ideal candidate for the Derivatives ... and record retention controls to ensure team adheres to Swap Dealer regulations + Liaison with counterparties to perform...skills + Experience with system implementation and user acceptance testing At this time, Capital One will not sponsor… more
- Mizuho Corporate Bank (New York, NY)
- …supporting Structured Equity Finance and Swaps, including: + Equity Swaps, DMA to Swap + Funding, Liquidity Management + Securities Borrow/Loan + Real Time Front ... and risk systems, and enhance operational efficiency and regulatory compliance . The successful candidate will have 10+ years of...financial technology with direct experience in Equity Financing across Swap , D1 Trading, Margin Loan, Real Time Risk… more
- Teledyne (Mountain View, CA)
- …and defense, factory automation, air and water quality environmental monitoring , electronics design and development, oceanographic research, deepwater oil and ... spurious, and bandwidth + Oversee hardware layout, prototype construction, and performance testing + Prepare test methods, analyze results, and verify compliance … more
- Bank of America (Charlotte, NC)
- …regulatory returns for locally regulated legal entities including broker dealers, swap dealers and other legal entities. Key responsibilities include overseeing and ... requirements and effective challenge of results. + Drive identification, remediation, monitoring and escalation of issues impacting regulatory reporting as well as… more
- US Bank (Charlotte, NC)
- …and developing audit programs which provide sufficient guidance for testing control performance effectiveness and making evaluations which effectively achieve ... disposition of issues and drafting audit reports which include issues. 4. Monitoring progress of audit engagements against plan and schedule. Includes making… more