• Swap Dealer Testing Associate

    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
    NatWest Markets (07/16/25)
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  • Compliance Tester III, Principal Associate

    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
    Capital One (06/26/25)
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  • Compliance Risk Assessment

    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
    SMBC (07/12/25)
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  • Regulatory Reporting Lead Analyst, VP - Hybrid

    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
    Citigroup (06/03/25)
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  • Internal Audit - Equities

    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
    Mizuho Corporate Bank (06/18/25)
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  • Manager - Treasury - Global Exposure Management

    American Express (New York, NY)
    …identifying, monitoring and managing market risk exposures, and ensuring compliance with the company's market risk management strategies and risk tolerance ... risk management strategies, recommending investments and hedging activities and ensuring compliance with our risk management policies. The team also participates in… more
    American Express (07/08/25)
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