- Wells Fargo (Charlotte, NC)
- …**Senior Lead Compliance Officer** in Corporate Risk as part of **Swap Dealer & Futures Commission Merchant Compliance .** Learn more about the career ... business divisions at wellsfargojobs.com . As a Senior Lead Compliance Officer, you will provide compliance oversight...Senior Lead Compliance Officer, you will provide compliance oversight of Swap Dealer activities, specifically in the… more
- Scotiabank (New York, NY)
- …of Scotiabank's US broker-dealer (including internal inspections), banking, swap dealer, futures commission merchant , investment management activities, ... Manager, Compliance Testing **Requisition ID:** 200276 **Salary Range:** 85,700.00...broker-dealer internal inspections, institutional trading & sales, investment banking, futures commission merchant , swap dealer… more
- Bank of America (New York, NY)
- …with the power to make a difference. Join us! **Job Description:** The Dodd Frank / Futures Commission Merchant Regulatory Liaison is a person who has a ... experience with a strong knowledge of markets, swaps and futures trading products, compliance risk management practices, and CFTC Rules covering swaps and… more
- CHS Inc. (Inver Grove Heights, MN)
- …Inver Grove Heights, MN. CHS Hedging is a growing agriculture and energy focused futures commission merchant (FCM) with clearing memberships at the Chicago ... support and FP&A teams supporting regulatory financial reporting and compliance . The position is a key part of the...advancing level of leadership responsibilities + Series 3 Commodity Futures License, or ability to obtain within 90 days… more
- Mizuho Corporate Bank (New York, NY)
- …5 - 10 years' experience working in a Swap Dealer, Security-Based Swap Dealer, Futures Commission Merchant , or investment banking environment, with at least ... Americas Compliance + Americas Compliance , as a control function within the firm's second line of defense as well as a business partner, assists the firm in… more