- Citigroup (Jersey City, NJ)
- …responsible for performing assessments of Citi's compliance risks; performing independent testing activities ( testing and monitoring ) within the global ... role, you're expected to:** + Developing, implementing, and executing compliance testing , continuous testing , and... reviews and issue validation activities for the Volcker, Swap Dealer, Counterparty Trading & Risk CIA program in… 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
- KeyBank (Brooklyn, OH)
- …risk management, compliance , or testing (eg - second-line-of- defense testing , other risk or compliance testing functions, and/or internal or ... the responsibility for leading the strategy and execution for testing designed to evaluate Key's ongoing compliance ...strategy, design, and oversight of the teams that perform testing and continuous monitoring of Asset Management… more
- SMBC (Jersey City, NJ)
- …Description** The results of the CRA are utilized to drive monitoring and testing activities and to prioritize Compliance and other resources as new emergent ... risks are identified. This role will include conducting compliance risk assessments of certain US legal entities in...respect to documenting key controls as well as driving monitoring and testing plans. **Qualifications and Skills**… 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
- Citigroup (Getzville, NY)
- …Title VII (CFTC/SEC), and Canada. The team is responsible for the NAM Swap /Security-based Swap Trade Reporting, along with the ongoing governance, oversight of ... for overseeing engagement with internal and external stakeholders, including regulators, testing teams, and internal audit, with respect to Citi's global … more
- KeyBank (Cleveland, OH)
- …team of risk professionals, providing effective compliance coverage of a monitoring and self- testing program that performs regular and comprehensive ... compliance risk assessment and testing , identifies breaches and deficiencies, and formulates proposals for corrective action. + On a pro-active basis, identify… more
- Cargill (Houston, TX)
- …and Legal, as well as with Regulatory Compliance teams including Testing & Auditing, Business Support Network, Monitoring & Surveillance, and Regulatory ... guidelines relating to commodity swaps and futures trading, and compliance with commodity trading advisor and swap ...and assist in the remediation of operational deficiencies impacting compliance and compliance testing findings.… more
- Generac Power Systems (Waukesha, WI)
- …to find root cause of issues. + Expand in-house tool for ongoing reliability testing operation to track periodic sample swap outs. + Develop a simplified ... to help automate next-generation renewable energy products and IoT device reliability testing . In this role, you will be responsible for designing, developing, and… 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
- 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
- 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
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