- NatWest Markets (Stamford, CT)
- …business._ ** Swap Dealer Testing VP (2LOD)** Reporting to the Senior Monitoring and Testing Compliance Assurance Officer this role is responsible for ... assessing compliance risks and controls within the Swap Dealer testing program. The candidate will...be part of an effective Compliance Assurance testing program and will be responsible for monitoring… more
- NatWest Markets (Stamford, CT)
- …carried out in the United States. **Job description** ** Swap Dealer Testing Associate** **2LOD** This roleis responsible forassessing compliance risks and ... Swap Dealer Testing Associate Stamford,United States...policy. **Key Responsibilities:** + Contribute to the NWM, US Compliance Assurance Monitoring and Testing … 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
- Cargill (Minneapolis, MN)
- …actions. + Collaborate with cross-functional Regulatory Compliance teams including Testing & Auditing, Governance & Supervision, Monitoring & Surveillance, ... In this role, you will work closely with Cargill Risk Management's Deputy Chief Compliance Officer to manage swap dealer and commodities regulatory risk across… more
- Capital One (Mclean, VA)
- …High school diploma, GED, or equivalent certification + At least 3 years of experience testing or monitoring in a compliance department for an institutional ... lines of business, specifically within the Capital One Commercial Compliance Testing team are met. The ...Systems, or Business Administration + 4+ years of experience testing or monitoring + 4+ years of… more
- Bank of America (Charlotte, NC)
- …+ Written Communications + Issue Management + Monitoring , Surveillance, and Testing + Regulatory Compliance + Technical Documentation + Trading Strategy ... across a range of scenarios, and establishment of risk monitoring processes across the 8 lines of business and...swap dealer capital rules, including executing capital calculation testing and review and challenge of FOCUS report filings… 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 ... opportunities. + Perform issue validation reviews (design and operating effectiveness testing ) for the remediation of key issues (eg regulatory, third-party,… more
- Sandia National Laboratories (Albuquerque, NM)
- …electronics engineering (RF, analog, digital) within size, weight, and power ( SWaP ) constrained systems. Our special communication systems include highly optimized, ... + Develop design definition documentation, conduct qualification and acceptance testing , and engage in process development, system deployment, and sustainment… more
- SMBC (New York, NY)
- …subsidiary of SMBC. SMBC Capital Markets, Inc. was provisionally registered as a swap dealer with the Commodity Futures Trading Commission on December 31, 2012. Our ... maintains its own middle and back-office functions, including Risk Management, Compliance , Systems, Finance, and Operations. SMBC Capital Markets, Inc Front Office… more