- NatWest Markets (Stamford, CT)
- …carried out in the United States. **Job description** ** Swap Dealer Testing Associate** **2LOD** This roleis responsible forassessing compliance risks and ... Swap Dealer Testing Associate LocationStamford,United States...policy. **Key Responsibilities:** + Contribute to the NWM, US Compliance Assurance Monitoring and Testing … more
- Capital One (Mclean, VA)
- …High school diploma, GED, or equivalent certification + At least 3 years of experience testing or monitoring in a compliance department for an institutional ... lines of business, specifically within the Capital One Commercial Compliance Testing team are met. The ...Systems, or Business Administration + 4+ years of experience testing or monitoring + 4+ years of… 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
- Bank of America (Charlotte, NC)
- …+ Written Communications + Issue Management + Monitoring , Surveillance, and Testing + Regulatory Compliance + Technical Documentation + Trading Strategy ... across a range of scenarios, and establishment of risk monitoring processes across the 8 lines of business and...swap dealer capital rules, including executing capital calculation testing and review and challenge of FOCUS report filings… more
- Mizuho Corporate Bank (New York, NY)
- …electronic and program trading, equity research, sales, trading mandates, markets conduct, swap dealer and security-based swap dealer as well as Volcker ... rule). Knowledge of financial services operations, finance, liquidity, compliance , conduct, financial crime, technology, credit risk, market risk, regulatory… more
- Adecco US, Inc. (Lynchburg, VA)
- …findings and provide recommendations for preventing future incidents. + Conducts BAT (breath alcohol testing ) and Oral Swap testing as part of Substance ... Abuse Program. + **Security Management:** + Oversee the installation, maintenance, and monitoring of security systems, including cameras and alarm systems. + Conduct… more
- Washington Suburban Sanitary Commission (WSSC) (Laurel, MD)
- …+ Performs other related duties as required Level I: + Performs laboratory sampling, testing and analysis to ensure compliance with state and federal water ... processes and receiving waters + Assists with operating and monitoring equipment and processes, with potential exposure + to...inventory system + Assists with overhauling specialty valves or swap out valves in the plant + Climbs into… more
- MUFG (New York, NY)
- …inquiries and document requests from external regulators and internal stakeholders eg Compliance testing and Audit. Support corrective action planning and issue ... and monitoring results to senior management. + Recordkeeping: + Support compliance with CFTC Swap Dealer recordkeeping requirements by conducting reviews of… more
- Mizuho Corporate Bank (New York, NY)
- …and improve Mizuho Bank's US operations including derivative activities, broker dealer and swap dealer businesses. Based in the New York Metro area, IADA staff ... opportunities. + Perform issue validation reviews (design and operating effectiveness testing ) for the remediation of key issues (eg regulatory, third-party,… more