- Citigroup (Jersey City, NJ)
- …and Trade Advertisements is preferred. + Understanding of the Pre-trade , Compliance & Regulatory controls + Understanding of regulatory constraints and experience ... in delivering regulatory projects is extremely desirable + Exposure to Agile project management is preferred + Skill set requires evidence of : + Ability to handle complex projects independently + Problem-solving and facilitation skills + Knowledge of the key… more
- SMBC (Jersey City, NJ)
- …in a Compliance Advisory role covering either banking products/services or trading /capital markets businesses or conducting Compliance Risk Assessments is a ... the CRA are utilized to drive monitoring and testing activities and to prioritize Compliance and other resources as new emergent risks are identified. This role will… more
- City National Bank (Jersey City, NJ)
- …benefit, and personal trust relationships, propriety mutual funds, security sales and trading , and insurance activities. Compliance with various laws, rules, ... contributor on routine audit assignments testing internal controls and ensuring compliance with bank policies, procedures, and regulatory requirements. Assigned to… more
- SMBC (Jersey City, NJ)
- …Review and evaluate internal key controls in Banking, Capital Markets and Sales and Trading risk areas to ensure compliance with internal policies and applicable ... financial services industry including Corporate Lending, Capital Markets and Sales and Trading business. + Detail oriented, with proven ability to question the… more
- S&P Global (Princeton, NJ)
- …of interest by monitoring and placing restrictions on personal securities holding and trading . The Policy is designed to promote compliance with global ... to track model performance, data quality, and infrastructure + Security and Compliance : Implement security measures and compliance standards to protect sensitive… more
- S&P Global (Princeton, NJ)
- …of interest by monitoring and placing restrictions on personal securities holding and trading . The Policy is designed to promote compliance with global ... global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks to mitigate conflicts...of interest. Employment at S&P Global is contingent upon compliance with the Policy. **Recruitment Fraud Alert:** If you… more
- S&P Global (Princeton, NJ)
- …of interest by monitoring and placing restrictions on personal securities holding and trading . The Policy is designed to promote compliance with global ... global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks to mitigate conflicts...of interest. Employment at S&P Global is contingent upon compliance with the Policy. **Recruitment Fraud Alert:** If you… more
- S&P Global (Princeton, NJ)
- …of interest by monitoring and placing restrictions on personal securities holding and trading . The Policy is designed to promote compliance with global ... global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks to mitigate conflicts...of interest. Employment at S&P Global is contingent upon compliance with the Policy. **Recruitment Fraud Alert:** If you… more
- S&P Global (Princeton, NJ)
- …of interest by monitoring and placing restrictions on personal securities holding and trading . The Policy is designed to promote compliance with global ... global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks to mitigate conflicts...of interest. Employment at S&P Global is contingent upon compliance with the Policy. **Recruitment Fraud Alert:** If you… more
- Citigroup (Jersey City, NJ)
- …requirements on a transaction-specific basis. + Liaise with other legal and compliance groups to address information barrier issues, trading in equities ... Serves as a compliance risk officer for the Independent Compliance Risk Management (ICRM)'s Control Room team. The ICRM Global Surveillance platform encompasses… more