- Capco, a Wipro Company (New York, NY)
- …programmes. **What You'll Get to Do:** + Specialize in implementations to adhere to global Swap Dealer Compliance related rules and regulations + Advise and ... all areas of the front office, operations, technology, risk, finance and compliance .? Our clients include the largest investment banks, global universal banks and… more
- SMBC (New York, NY)
- …with project management skills. + Regulatory compliance experience at a broker dealer and or swap dealer preferred. BA/BS required. JD Preferred. ... portfolio of benefits to its employees. **Role Description** The SMBC Compliance Advisory Function resides within Compliance Department Americas Division… more
- SMBC (Charlotte, NC)
- …local IT control identification to comply with regulations (eg, Swap Dealer recordkeeping, SEC and FINRA WORM compliance , FRB/OCC/FDIC Disaster Recovery ... risk & control assessments within 1LoD, working closely with Risk Management, Compliance , Internal Audit, and peer Control Officers supporting CM/Nikko Front Office… more
- SMBC (Charlotte, NC)
- …subsidiary of SMBC. SMBC Capital Markets, Inc. was provisionally registered as a swap dealer with the Commodity Futures Trading Commission on December 31, ... maintains its own middle and back-office functions, including Risk Management, Compliance , Systems, Finance, and Operations. SMBC Capital Markets, Inc Front Office… more
- Citizens (Stamford, CT)
- Description Citizens is seeking a highly motivated Compliance Officer to join the Swap Dealer Compliance team. This role supports the firm's registered ... for maintaining Citizens' strong compliance culture and supporting the Swap Dealer business. To thrive as a colleague at Citizens, candidates must… more
- ManpowerGroup (New York, NY)
- …communication and interpersonal skills, and a strong background in auditing and regulatory compliance . **Job Title:** Swap Dealer Auditor **Location:** New ... **Pay Range:** Competitive **What's the Job?** + Conduct comprehensive audits of swap dealer activities to ensure compliance with regulatory requirements. +… more
- US Bank (New York, NY)
- …position will provide compliance oversight and advice to the Bank's swap dealer and foreign exchange business unit. Basic qualifications include extensive ... with the FX Global Code, experience in a risk management or compliance role supporting a swap dealer and FX business, experience managing regulatory exams… more
- Santander US (Miami, FL)
- Swap Dealer Regulation Controls & Operational Oversight - VP Country: United States of America **Your Journey Starts Here:** Santander is a global leader and ... Make:** You will be responsible for the execution of day-to-day controls related to the Swap Dealer (eg Dodd Frank/EMIR/MiFid) and coverage for Broker Dealer … more
- Capital One (Mclean, VA)
- …will possess a risk mindset and has experience in Capital Markets Operations, Swap Dealer Requirements, Compliance or Audit. **Responsibilities** + Manage ... initial margin threshold with each counterparty to ensure we establish swap documentation timely + Identifies margin discrepancies, manages valuation dispute process… more
- CIBC (New York, NY)
- …company including, but not limited to, the parent bank swap dealer . **How You'll Succeed:** + Executing risk-based compliance examinations that adequately ... ethic Preferred Qualifications: + 5-7 years of registered US broker- dealer compliance and risk management experience +...CCOS or IACCP a plus) + Working knowledge of swap dealer operations and governing Dodd-Frank/CFTC requirements… 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 ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $180,000 - $225,000 USD TD is...and standardize annual reporting to regulators across broker-dealers and swap dealers and draft relevant content + Act as… 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 ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $110,000 - $135,000 USD TD is...more years of experience with a registered US broker dealer or regulator. + JD desirable but not required… more
- ManpowerGroup (New York, NY)
- …**Pay Range:** $80-85/HR W2 **What's the Job?** + Conduct comprehensive audits of swap dealer activities to ensure compliance with regulatory requirements. ... you will be part of the auditing department supporting compliance and regulatory teams. The ideal candidate will have...+ Assess the effectiveness of internal controls related to swap transactions and recommend improvements as needed. + Stay… 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 ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $145,000 - $185,000 USD TD is...specific details for this role. **Job Description:** This VP, Compliance is a key member of the TDS US… 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 ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $180,000 - $225,000 USD TD is...details for this role. **Job Description:** This Director - Compliance role will be a key member of the… more
- TD Bank (New York, NY)
- …**Preferred Qualifications:** + 5-7 years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $140,000 - $180,000 USD TD is...specific details for this role. **Job Description:** This VP Compliance role will be a key member of the… 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...the opportunity to collaborate with senior stakeholders and drive compliance initiatives that impact our business worldwide. As a… more
- CIBC (New York, NY)
- …+ Minimum 5+ years' experience in handling securities and OTC derivative/ swap compliance issues gained at an investment dealer , regulator or marketplace + ... registered broker- dealer securities trading products, as well as OTC derivative/ swap trading products, with primary focus on: Cash Equities, Program Trading,… more
- Capital One (New York, NY)
- …audit deliverables, with a specific focus on Capital One's Commercial Capital Markets, Swap Dealer , Treasury Management, and Lending portfolios as well as people ... this role is ensuring the Audit team consistently maintains compliance with all organizational and professional ethical standards. This...auditing Commercial Banking lines of business (Lending, Capital Markets, Swap Dealer ) + At least 5 years… more
- Capital One (Mclean, VA)
- …become and maintain status as a registered Associate Person (AP) in Capital One's Swap Dealer program, this entails passing a derivatives proficiency exam as ... as needed. Those projects could include new product testing, onboarding new dealer relationships, amending existing legal agreements, etc. + Role includes management… more
