- Scotiabank (Dallas, TX)
- Compliance Testing Senior Manager , Swap Dealer and Derivatives Compliance **Requisition ID:** 220508 **Salary Range:** 99,790.00 - 190,995.00 _Please note ... to the overall success of GBM&T Compliance Testing team and Swap Dealer and Derivatives Compliance ensuring specific individual goals, plans, initiatives are… more
- JPMorgan Chase (Jersey City, NJ)
- …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...shaping our control environment. As a Legal Entity Control Manager , you'll have the opportunity to collaborate with senior… more
- SMBC (New York, NY)
- …businesses. * Strong trading risk knowledge of products offered by brokers and swap dealer businesses * Strong understanding of market risk management framework ... SMBC is seeking an experienced Vice President - Audit Manager with a minimum of 8 years of experience...related to trading activities including Dodd Frank, Volcker including swap dealer requirements * Excellent communication, presentation… more
- SMBC (New York, NY)
- …inventory of issues across CUSO Market Risk and other risk stripes under the Swap - Dealer and Broker- Dealer legal entity CRO umbrella. - Track and ... documentation and reporting approaches). - Understand regulatory requirements applicable to Swap - Dealer , Broker- Dealer , and Bank entities. **Communication… more
- PNC (Pittsburgh, PA)
- …and Settlements. * Broad knowledge and understanding of Capital Markets including Broker Dealer , Swap Dealer , and Foreign Exchange. * Broad knowledge ... opportunity to contribute to the company's success. As a Business Analytics Manager Senior - Foreign Exchange within PNC's Investment Operations organization, you… more
- Capital One (Mclean, VA)
- …(includes commercial lending, treasury management, institutional broker-dealers and CFTC swap dealer ), Corporate Functions (eg, Human Resources, ... services industry **Preferred Qualifications:** + Master's degree + 10+ years of US broker- dealer , swap dealer and/or financial crimes experience in a… more
- Scotiabank (Dallas, TX)
- …Planning, Operational Resiliency, OTC Remediation/ CFTC initiatives, FRTB, and Security based Swap Dealer in support of regulatory findings. **What You'll Do** ... Senior Manager , Regulatory and Business Initiatives Group **Requisition ID:** 236169 **Salary Range:** 99,790.00 - 190,995.00 _Please note that the Salary Range… more
- TD Bank (New York, NY)
- …but not required. + 7-10 years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or associated ... and standardize annual reporting to regulators across broker-dealers and swap dealers and draft relevant content + Act as...have regular career, development, and performance conversations with your manager , as well as access to an online learning… more
- TD Bank (New York, NY)
- …not required + 5 or more years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or associated ... more years of experience with a registered US broker dealer or regulator. + JD desirable but not required...have regular career, development, and performance conversations with your manager , as well as access to an online learning… more
- TD Bank (New York, NY)
- …but not required. + 5-7 years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or associated ... you succeed. You'll have regular career, development, and performance conversations with your manager , as well as access to an online learning platform and a variety… more
- TD Bank (New York, NY)
- …but not required. + 7 years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or associated ... you succeed. You'll have regular career, development, and performance conversations with your manager , as well as access to an online learning platform and a variety… more
- TD Bank (New York, NY)
- …but not required. + 7-10 years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or associated ... you succeed. You'll have regular career, development, and performance conversations with your manager , as well as access to an online learning platform and a variety… more
- KeyBank (Cleveland, OH)
- …applicable laws, regulations, and internal policies governing investment advisory, brokerage, trust, swap dealer and private banking services. The executive will ... delegating, mentoring, and developing people. Should be an involved, approachable, hands-on manager . + A proven record of integrity, ethics, judgement, and maturity,… more