- TD Bank (New York, NY)
- …**Job Description:** This VP, Compliance is a key member of the TDS US Compliance Monitoring & Testing (M&T) Team, responsible for working on the ... + Assist with the development, implementation and coordination of the Compliance Monitoring program, including evaluating program design elements, analyzing… 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
- JPMorgan Chase (New York, NY)
- … testing , and validation procedures to ensure transparency and compliance . Create and maintain documentation for model specifications, calibration methodologies, ... testing results, and deployment procedures to support regulatory and...improve trader-facing applications used in pricing, trading, and risk monitoring . Review and manage overnight batch pricing and risk… more
- SMBC (New York, NY)
- …subsidiary of SMBC. SMBC Capital Markets, Inc. was provisionally registered as a swap dealer with the Commodity Futures Trading Commission on December 31, 2012. Our ... maintains its own middle and back-office functions, including Risk Management, Compliance , Systems, Finance, and Operations. SMBC Capital Markets, Inc Front Office… more