- SMBC (Jersey City, NJ)
- …SMBC's Compliance Department Americas Division ("CPAD") is seeking a Compliance Monitoring and Testing Associate. The Associate-level position ... testing engagements is essential. **Role Objectives** + Supporting examiner-in-charge of Compliance Monitoring and Testing engagements. + Assists in the… more
- TD Bank (New York, NY)
- …Qualifications:** This Senior Compliance Officer is a key member of the TDS US Compliance Monitoring and Testing Team and Core Compliance Group. The ... Compliance program as needed. **Depth & Scope:** Compliance Monitoring and Testing +...wide range of capital markets products and services to corporate , government, and institutional clients who choose us for… more
- TD Bank (New York, NY)
- …will manage ongoing Compliance risk coverage planning that will support the Compliance Monitoring & Testing (M&T) program. Additionally, this role will ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $140,000 - $185,000 USD TD is...+ Support the development and maintenance of the Firm's Monitoring and Testing Coverage Plan, which includes… more
- TD Bank (New York, NY)
- …and assists in implementing compliance initiatives to help manage regulatory risk. Compliance Monitoring and Testing + Assist with developing and ... stakeholders globally + Assist in identifying areas for enhanced Monitoring , Testing or training Core Compliance...wide range of capital markets products and services to corporate , government, and institutional clients who choose us for… more
- S&P Global (New York, NY)
- …use):** 13 **S&P Global Corporate ** **Director, First Line Technology Controls Testing and Monitoring ** **The Team:** Digital Solutions (DS) is an ... of defense in Information Security, Digital Technology Services, and Corporate Platforms, as well as with Enterprise Risk and...Lead efforts in defining and documenting a comprehensive controls testing and monitoring methodology. + Lead the… more
- TD Bank (New York, NY)
- …execution of the annual Compliance Test Plan. + Work closely with the Head of Compliance Monitoring and Testing and the other Compliance Testing ... Compliance Testers as part of the wider Monitoring and Testing Team. The Director -...wide range of capital markets products and services to corporate , government, and institutional clients who choose us for… more
- Mizuho Corporate Bank (New York, NY)
- …needed. VP role Essential Duties and Responsibilities: Americas Treasury Department (ATD) Compliance coverage Assist with and develop controls, monitoring and ... in the financial services industry, ideally with particular emphasis on Corporate Treasury activities, Bank regulations compliance , derivatives regulations and… more
- Mizuho Corporate Bank (New York, NY)
- …Crime Compliance department. This role will be expected to perform ongoing testing of the AML Transaction Monitoring , KYC, and Sanctions procedures against ... regulatory requirements. In addition to testing in search of any control weaknesses, the FCC...verbal communication skills. + Advanced proficiency in Microsoft Suite, Compliance and Transaction Monitoring Systems and Microsoft… more
- Mizuho Corporate Bank (New York, NY)
- …Crime Compliance department. This role will be expected to perform ongoing testing of the AML Transaction Monitoring , KYC, and Sanctions procedures against ... regulatory requirements. In addition to testing in search of any control weaknesses, the FCC...verbal communication skills. + Advanced proficiency in Microsoft Suite, Compliance and Transaction Monitoring Systems and Microsoft… more
- Mizuho Corporate Bank (New York, NY)
- …infrastructure, cybersecurity, software development lifecycle (SDLC), change management, security monitoring and incident and problem management. This role is hybrid ... America's (IADA's) annual risk assessment, audit plan and schedule, continuous monitoring and preparation and/or presentation of related MIS reports. + Execute… more
- Mizuho Corporate Bank (New York, NY)
- …Volcker rule). Knowledge of financial services operations, finance, liquidity, compliance , conduct, financial crime, technology, credit risk, market risk, regulatory ... America's (IADA's) annual risk assessment, audit plan and schedule, continuous monitoring and preparation and/or presentation of related MIS reports. + Manage… more
- HSBC (New York, NY)
- …-Credit and Lending activities across various client segments (eg, large corporate , international middle market, global network banking, etc.) -Global Payment ... lifecycle: announcement, team management and preparation, logistics, planning, fieldwork, testing , documentation and review, issue writing and agreement, report… more
- Mizuho Corporate Bank (New York, NY)
- …Responsible for the daily maintenance of the commitment facilities including: monitoring borrowing status, prepare new borrowings, rollovers, rate sets, conversions, ... all monthly and/or quarter end activity + Maintaining and monitoring Fronting LC, Invoice Discounting and Risk Participations +...other duties, as assigned, completing such tasks on time. Compliance + Obtain a basic understanding of the applicable… more
- Mizuho Corporate Bank (New York, NY)
- …is responsible for managing regulatory examinations, reviews, continuous monitoring , inquiries, firmwide regulatory projects and other regulatory-related matters. ... Additionally, the department oversees regulatory change management, which involves monitoring and analyzing new and emerging regulations, assessing their impact on… more
- JPMorgan Chase (Jersey City, NJ)
- We are on the lookout for a talented Senior Associate to join our Corporate Functions Internal Audit team. This is your opportunity to play a crucial role in ... governance and operational excellence! As a Senior Internal Audit Associate within Corporate Functions, you will oversee all stages of the audit lifecycle, including… more
- Mizuho Corporate Bank (New York, NY)
- …financial services risk management operations, balance sheet management, liquidity, compliance , conduct, financial crime, credit risk, operational and third-party ... (IADA's) annual risk assessment, audit plan including the completion of continuous monitoring reports. + Execute and supervise the activities associated with audit … more
- Mizuho Corporate Bank (New York, NY)
- …of the audit process, including but not limited to, issue validation, continuous monitoring , and annual audit planning. Assist with audit execution as needed. Job ... America's (IADA's) annual risk assessment, audit plan and schedule, continuous monitoring and preparation and/or presentation of related MIS reports. + Perform… more
- Mizuho Corporate Bank (New York, NY)
- …and thematic reviews on Data Management risk areas (eg, data quality monitoring , lineage tracking, metadata integrity) and track the remediation of identified gaps. ... and track the remediation of identified gaps to drive continuous improvement. Monitoring and Continuous Improvement: + Execute continuous risk monitoring … more
- Santander US (New York, NY)
- …/ Markets / Financial Sponsors Credit Risk 2nd Line of Defense - Corporate & Investment Banking Country: United States of America **Your Journey Starts Here:** ... Finance deal screenings, perform credit analysis to determine deal viability, and compliance with Fund Finance credit underwriting standards. + Review and challenge… more
- Mizuho Corporate Bank (New York, NY)
- …communication. + Measure and Continuous Improvement + Implement a comprehensive continuous monitoring program to evaluate the effective risk mitigation, + Champion a ... regulatory requirements and supervisory expectations for Business continuity. Ensure compliance with relevant regulations and industry standards. Qualifications +… more