- Scotiabank (New York, NY)
- Compliance Testing Senior Manager , Swap Dealer and Derivatives Compliance **Requisition ID:** 220508 **Salary Range:** 117,400.00 - 224,700.00 _Please ... the overall success of GBM&T Compliance Testing team and Swap Dealer and Derivatives Compliance ensuring specific...and exception items noted during the review process to senior management. + Ensure that the stakeholders respond with… more
- Scotiabank (New York, NY)
- Senior Manager , Swap Dealer and Derivatives Compliance **Requisition ID:** 230322 **Salary Range:** 117,400.00 - 224,700.00 _Please note that the Salary ... initiatives are executed and delivered in support of the Swap Dealer Compliance team's business strategies and...identify issues and communicate recommendations in order to provide senior management with a sound basis on which informed… more
- PNC (Houston, TX)
- …may be performed remotely, at manager 's discretion. As a Compliance Program Specialist Senior within the Swap Dealer Compliance team, you will monitor ... to contribute to the company's success. As Compliance Program Specialist Senior within the Swap Dealer Compliance team, you will join PNC's Independent… more
- JPMorgan Chase (Plano, TX)
- …Securities Dealer , Futures Commission Merchant, Commodity Pool Operator, and registered as a swap dealer and Security-Based Swap Dealer . JPMS LLC ... JPMorgan Securities LLC (JPMS LLC) is a licensed broker- dealer and investment adviser registered with the SEC...Manager , you'll have the opportunity to collaborate with senior stakeholders and drive compliance initiatives that impact our… more
- PNC (Pittsburgh, PA)
- …an opportunity to contribute to the company's success. As a Business Analytics Manager Senior - Foreign Exchange within PNC's Investment Operations organization, ... Broad knowledge and understanding of Capital Markets including Broker Dealer , Swap Dealer , and Foreign...integrity, manages risk and meets the needs of the senior leadership. + Directing, motivating, developing and managing 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:** 223397 **Salary Range:**...institutional trading & sales, investment banking, futures commission merchant, swap dealer activities, commercial banking, investment management,… more
- TD Bank (New York, NY)
- …and regulatory or business conduct matters requiring escalation + Administering Global Markets Swap Dealer and Volcker Business Compliance Programs; and Codes of ... position supports the trading/sales managers and business heads at the Dealer , providing them with business management support, management information, desk-based… more
- Shell (Houston, TX)
- …management principles and product structures + Experience with regulatory compliance in swap dealer environment + Excellent relationship management skills with ... **Job Description:** **What's the role** Reporting to the STRM Manager , this role is part of the Trading &...delivery and future growth of client portfolios. As the Senior Sales/Originator you will be responsible for building and… more