- SMBC (Jersey City, NJ)
- …Description** SMBC's Compliance Department Americas Division is seeking a VP of Swap Dealer Compliance Monitoring & Testing (M&T). The VP is ... and Skills** + 7+ years of swap dealer experience + Has a Compliance Testing , NFA or Internal Audit background + Able to work independently on projects with… more
- MUFG (New York, NY)
- …the successful execution of the end-to-end audit process (eg planning, fieldwork testing , reporting, issues validation, etc.). The Senior Auditor I also establish ... May supervise staff during an audit engagement at the VP Level and below. **Major Responsibilities:** + Act as...impact on risk and/or risk management practices. + Maintain compliance with audit methodology, while also operating within industry… more
- SMBC (Jersey City, NJ)
- …portfolio of benefits to its employees. **Role Description** SMBC Group is seeking a Vice President for the Compliance Risk Assessment team ("CRA team") ... Director, Head of Risk and Control Assessment. As a Compliance Risk Assessment ("CRA") Vice President...strong plus (but not required). + Experience in a Compliance Testing or Audit role focused on… more
- HSBC (New York, NY)
- …to the businesses + Swap Dealer and Broker Dealer compliance control testing experience + Strong managerial, interpersonal, communications, analytical, ... of Defence (2LOD) function that undertakes risk-based monitoring and testing of processes and outcomes of First Line of...reviews on issues, opportunities and/or strategic change. As our VP Risk and Compliance Assurance you will:… more
- SMBC (New York, NY)
- …options, currency futures, treasury futures & options, etc Therefore, CM is seeking a Vice President within its Risk Management Department. The role will report ... risk governance framework across CUSO under FRB regulations. 2. Monitors the firms compliance with the Volcker Rule and produces monthly analysis. 3. Assists Group… more