- NatWest Markets (Stamford, CT)
- …business._ ** Swap Dealer Testing VP (2LOD)** Reporting to the Senior Monitoring and Testing Compliance Assurance Officer this role is responsible for ... assessing compliance risks and controls within the Swap Dealer testing program. The candidate will...be part of an effective Compliance Assurance testing program and will be responsible for monitoring… more
- Citigroup (Jersey City, NJ)
- …and in implementation of cost effective and technology enabled innovative solutions in compliance monitoring , testing , and reporting + Effective negotiation ... Compliance Independent Assessment (CIA) Team responsible for assessing compliance with Volcker rule, Swap dealer requirements...across all lines of defense and overseeing CIA activities ( testing and monitoring ) to assess the design… 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
- 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
- Bank of America (Charlotte, NC)
- …+ Written Communications + Issue Management + Monitoring , Surveillance, and Testing + Regulatory Compliance + Technical Documentation + Trading Strategy ... across a range of scenarios, and establishment of risk monitoring processes across the 8 lines of business and...swap dealer capital rules, including executing capital calculation testing and review and challenge of FOCUS report filings… more
- Capital One (Mclean, VA)
- …for trade maintenance, monitoring of life cycle events and reporting in compliance with Swap Dealer regulations. The Sr. Associate for Derivatives Operations ... and record retention controls to ensure team adheres to Swap Dealer regulations + Liaison with counterparties to perform...ability and experience with system implementation and user acceptance testing At this time, Capital One will not sponsor… more
- MUFG (New York, NY)
- …inquiries and document requests from external regulators and internal stakeholders eg Compliance testing and Audit. Support corrective action planning and issue ... and monitoring results to senior management. + Recordkeeping: + Support compliance with CFTC Swap Dealer recordkeeping requirements by conducting reviews of… more
- Sandia National Laboratories (Albuquerque, NM)
- …electronics engineering (RF, analog, digital) within size, weight, and power ( SWaP ) constrained systems. Our special communication systems include highly optimized, ... + Develop design definition documentation, conduct qualification and acceptance testing , and engage in process development, system deployment, and sustainment… 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