- ManpowerGroup (New York, NY)
- …coverage over the banks Swap Dealer Operations. **Job Title: Vice President, Compliance Monitoring & Testing (Swaps)** **Location: New York, NY ... top banking client is seeking a Vice President of Compliance Monitoring & Testing (Swaps)...rules and regulations. **What's Needed?** + 7+ years of swap dealer experience + Compliance Testing… more
- TD Bank (New York, NY)
- …**Preferred Qualifications:** This Compliance Officer is a key member of the TDS US Compliance Monitoring and Testing Team and Core Compliance Group. ... as needed. **Depth and Scope:** + Execute the annual Compliance testing and monitoring plan...Knowledge of US laws, rules and regulations pertaining to Swap Dealers, including Dodd-Frank and Volcker + Excellent interpersonal,… 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 ... compliance risks Summary ACD seeks a Vice President, Compliance Monitoring within the Compliance ...other Compliance Governance pillars, including Regulatory Change, Compliance Risk Assessment, Compliance Testing ,… 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 ... regulations, and rules applicable to MCM, a registered Security Based- Swap Dealer and registered Swap Dealer; MMA,...advisory partners to address and resolve issues identified during testing and monitoring and provided compliance… 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 ... + Collaborate with other Compliance Governance pillars, including Regulatory Change, Compliance Testing , and Issues Management to ensure Compliance Risk… more
- City National Bank (New York, NY)
- …of recommendations identified through 1st, 2nd, 3rd LOD and external regulatory examinations, monitoring and testing . + Analyze findings and perform root cause ... Markets activity is conducted under bank permissible activities, not under registered swap dealer or broker dealer activity. This role is responsible for ongoing… more
- SMBC (New York, NY)
- …processes, and procedures designed to ensure risk identification, aggregation, mitigation, and monitoring capabilities in compliance with the sound operation of ... develop key risk categories and risk identification in full compliance with relevant regulations. 3. Assist in the development...Frank Act, CFTC Rule 23.600, the Volcker Rule, and Swap Dealer registration requirements, SR 11-07, SR 11-10, etc.)… more