- 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)
- …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)
- …assists in implementing compliance initiatives to help manage regulatory risk. ** Compliance Monitoring & Compliance Oversight** + Assist with developing ... and overseeing the Compliance Monitoring program. + Collaborate with colleagues...MIS reporting for ongoing tracking and evaluation for both Monitoring and Oversight of the first line testing… more
- TD Bank (New York, NY)
- …Compliance for Credit Cards and Unsecured Lending, specifically related to regulatory compliance monitoring . This role will execute monitoring , conduct ... would require the following: + Ability to execute and enhance the Bank's monitoring program + Manages and/or perform independent compliance reviews of regulatory… 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)
- …and industry standards (SEC, FINRA, GDPR, etc.) Key Outcomes: + Improved compliance monitoring and surveillance capabilities. + Streamlined compliance ... Join Mizuho as a Business Analyst IT for Compliance Technology! In this role you will bridge business needs and IT solutions within the compliance field. This… more
- HSBC (New York, NY)
- …people, our investors, our communities and the planet we all share. Corporate and Institutional Banking (CIB) delivers internationally focused solutions for ... corporate and institutional clients across credit, international trade, payments,...lifecycle: announcement, team management and preparation, logistics, planning, fieldwork, testing , documentation and review, issue writing and agreement, report… more
- City National Bank (New York, NY)
- …risk activities. The primary responsibility for this role is identifying, assessing, monitoring , and reporting all key risks. Assists Corporate Functions ... *Business Controls Lead - Corporate Functions-Vendors & Applications* * * *WHAT IS...business partners and risk units, to help prepare for testing , audits and other related risk activities. Provides… 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)
- …responsibility will be to work with key stakeholders to manage Transaction Monitoring Systems, Transaction and Customer Screening Systems, and related processes to ... and productivity assessments to determine the effectiveness and comprehensiveness of monitoring systems. Additionally, you will support the models through data… 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)
- …position requires an individual with a strong credit analysis background covering corporate borrowers across various industry segments. The candidate will assist the ... the annual review plan by conducting independent credit reviews to ensure compliance with Bank policies and procedures as well as adherence with regulatory… 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
- Santander US (New York, NY)
- Associate, Counterparty Credit Risk - Corporate and Investment Banking Country: United States of America **Your Journey Starts Here:** Santander is a global leader ... established by the company. Manages policy, standard definition and monitoring of policy, standard implementation, ensuring harmonization and consistency of… 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
- Mizuho Corporate Bank (New York, NY)
- …for Mizuho America's Financial Crimes ("FCC") Models, which include Transaction Monitoring , Real-Time Message Screening, and Customer Screening Systems models. Your ... underlying rules, threshold values, parameters, and assumptions, ensuring that the monitoring systems remain effective and aligned with current risks. + Overseeing… 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
- 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