- Frontier Airlines (Denver, CO)
- …forecast and reconciliation to longer-term forecasts. Monitor and maintain debt compliance Ensure compliance with internal controls, policies and procedures. ... other lending partners. Fuel Management Responsible for the Sourcing, Contracting, Monitoring , Risk Management and Operational requirements of the airlines fuel… more
- Securities and Exchange Commission (San Francisco, CA)
- …and support responsible capital formation through risk-focused strategies that: (1) improve compliance ; (2) prevent fraud; (3) monitor risk; and (4) inform policy. ... and transfer agents and their associated persons to determine level of compliance with federal/state securities laws and regulations; Assign work, taking into… more
- NatWest Markets (Stamford, CT)
- …**This role is responsible for assessing compliance risks and controls within the Swap Dealer testing program. We are seeking an experienced compliance ... Swap Dealer Testing Associate LocationStamford,United States...of team operating an effective Compliance Assurance testing program and will be responsible for monitoring… 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
- SMBC (Jersey City, NJ)
- …Description** The results of 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 include conducting compliance risk assessments of certain US legal entities in...respect to documenting key controls as well as driving monitoring and testing plans. **Qualifications and Skills**… 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
- Wells Fargo (Charlotte, NC)
- …(https://https/www.wellsfargojobs.com/) . **In this role, you will:** + Provide oversight and monitoring of business group risk based compliance programs + ... **About this role:** Wells Fargo is seeking a Lead Compliance Officer in Corporate and Investment Banking (CIB) ...operational risk monitoring requirements of the Independent Monitoring , Testing , and Validation Policy, Operational Risk… more
- JPMorgan Chase (New York, NY)
- … testing ; collateral management practices, including the valuation and monitoring of collateral assets; loan agreements, ISDA documentation, and derivative ... analysis (variance, trend, concentration etc.). Develop LE Reports including design, monitoring and technology requirements. Present and explain materials for Board… 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
