- SMBC (New York, NY)
- … Compliance Department Americas Division is seeking a VP of Swap Dealer Compliance Monitoring & Testing (M&T). The VP is responsible for execution of ... serve as a team member for M&T annual planning, monitoring and testing reviews. This role will...of swap dealer experience + Has a Compliance Testing , NFA or Internal Audit background… more
- 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 ... 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
- SMBC (New York, NY)
- …program. The results of the risk assessment process will be utilized to drive monitoring and testing initiatives and refocus resources as new emergent risks are ... Description** SMBC Group is seeking a Vice-President for the Compliance Risk Assessment team ("CRA team") within the ...respect to documenting key controls as well as driving monitoring and testing plans. **Qualifications and Skills**… more
- US Bank (New York, NY)
- …related representation of the hedged item, hedge accounting documentation and reporting, monitoring , testing , and reporting of initial and ongoing hedge ... as well as wholesale funding activities + Complete post-trade capture, swap data reporting ("SDR Reporting"), electronic confirmation, and central clearing of… 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