- Capital One (New York, NY)
- Trade Surveillance Manager (Broker-Dealer & Swap Dealer) **About the Role** We are seeking a highly skilled Trade Surveillance Manager to lead and enhance ... 5 years of trade surveillance, market regulation, or At least 5 years Compliance experience within a Broker-Dealer or Swap Dealer environment. **Preferred… more
- MUFG (Irving, TX)
- …day. A member of our recruitment team will provide more details. **Job Summary:** Americas Compliance Testing (ACT) is an integral part of the MUFG Regulatory ... Compliance Risk Management function. This position executes a compliance testing program designed to meet heightening regulatory standards and expectations… more
- SMBC (New York, NY)
- …issue management across Combined US Operations (CUSO), the SMBC Capital Markets Swap Dealer, and Nikko Securities America's Broker-Dealer entity. This role provides ... VP will partner closely with Market Risk, Enterprise Risk, Non-Financial Risk, Compliance , Operations, Finance, and Front Office leadership to ensure consistent and… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $180,000 - $225,000 USD TD is committed to providing fair ... specific details for this role. **Job Description:** The Director Compliance TDS oversees/leads a team(s) of specialists/professionals providing advice, guidance… more
- TD Bank (New York, NY)
- …and coordinate with our Risk Owners to assist and show coverage alongside the Compliance testing and monitoring plan coverage of key risks and business units ... challenge. + Maintain and update procedures, templates and tools as required. + Assist Compliance testing with test execution that contributes to the overall … more
- TD Bank (New York, NY)
- …+ Communicate deficiencies to key stakeholders and exercise credible challenge. + Assist Compliance testing with test execution that contributes to the overall ... is a key member of the TDS US Compliance Monitoring & Testing (M&T) Team, responsible...years of experience with a registered US broker dealer, swap dealer, Global Systematically Important Bank (GSIB), or associated… more
- ADM (Chicago, IL)
- …ADM global affiliates, clearing exchanges, brokers and customers. The position reports to a compliance manager . We have a strong team that works well together. ... daily trading activity alerts within Validus system. + Perform testing and reviews of compliance policies and...a team to accomplish assigned projects + Experience with Swap related compliance requirements a plus +… more
- US Bank (Chicago, IL)
- …profile, innovative operational solutions, and client support. The CAS Audit Project Manager is primarily responsible for supervising staff in the completion of ... supervision from managers, however there are no direct reports. The Audit Project Manager is expected to monitor progress of audit engagements against plan and… more
- SMBC (New York, NY)
- …Management + Compliance Training + Issues Management + Monitoring & Testing + Compliance Risk Assessment + Communications and Transaction Surveillance + ... skills. + Regulatory compliance experience at a broker dealer and or swap dealer preferred. BA/BS required. JD Preferred. Series 7, 24, 79 a plus. SMBC's… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $140,000 - $180,000 USD TD is committed to providing fair ... more specific details for this role. **Job Description:** The VP Compliance TDS oversees/leads a team(s) of specialists/professionals providing advice, guidance and… more
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