- NatWest Markets (Stamford, CT)
- …all normal working days must be carried out in the United States. **Job description** ** Swap Dealer Testing Associate ** **2LOD** **This role is ... Regulatory Compliance Testing Associate Closing date for applications:...responsible for assessing compliance risks and controls within the Swap Dealer testing program. We… more
- Capital One (Mclean, VA)
- …of experience testing or monitoring in a compliance department for an institutional broker dealer or a swap dealer , or at least 3 years of experience ... Compliance Tester III, Principal Associate Capital One is a diversified bank that...advisor in a compliance department for an institutional broker dealer or swap dealer +… more
- SMBC (Jersey City, NJ)
- …wholesale and retail banking operations; US and LATAM representative offices; US broker dealer and registered swap deal; Cayman Branch; Canada Branch; Brazilian ... its employees. **Role Description** SMBC Group is seeking an Associate to join the Compliance Controls Inventory team, which...required. + Experience working in Internal Audit or Compliance Testing at a large bank is a strong plus… more