- Scotiabank (New York, NY)
- …retains, develops, and motivates their team by fostering an inclusive work environment. + Work with Swap Dealer Compliance Advisory Team to perform Swap ... Compliance Testing Senior Manager, Swap Dealer and Derivatives Compliance **Requisition ID:** 220508 **Salary Range:** 117,400.00 - 224,700.00 _Please… more
- CIBC (New York, NY)
- …about CIBC, please visit CIBC.com (https://www.cibc.com/en/about-cibc.html) **What You'll Be Doing:** The Swap Dealer Compliance Officer is responsible for ... performing important advisory, training, surveillance and analytical functions to support CIBC's Swap Dealer Compliance program. The Swap Dealer … more
- PNC (Houston, TX)
- …contribute to the company's success. As Compliance Program Specialist Senior within the Swap Dealer Compliance team, you will join PNC's Independent Risk ... at manager's discretion. As a Compliance Program Specialist Senior within the Swap Dealer Compliance team, you will monitor and test activity related to … more
- Scotiabank (New York, NY)
- …individual goals, plans, and initiatives are executed and delivered in support of the Swap Dealer Compliance team's business strategies and objectives. This ... Senior Manager, Swap Dealer and Derivatives Compliance **Requisition ID:** 230322 **Salary Range:** 117,400.00 - 224,700.00 _Please note that the Salary… more
- PNC (Chicago, IL)
- …the Compliance Audit team supporting Corporate & Institutional Banking, Treasury Management, Swap Dealer & Broker Dealer . This position is primarily ... efficiently to get things done **Job Description** + Manages financial, compliance , and/or operational audit reviews, including the evaluation of design and… 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
- Shell (Houston, TX)
- …of risk management principles and product structures + Experience with regulatory compliance in swap dealer environment + Excellent relationship ... client needs + Navigate cross-functional approval processes working with legal, credit, compliance , contracts teams and any other internal stakeholders + Adhering to… more
- Wells Fargo (New York, NY)
- …Qualifications:** + Experience with Institutional Interest Rates Compliance , including Primary Dealer activities, CFTC Swap Dealer and Foreign Exchange ... **About this role:** Wells Fargo is seeking a Lead Compliance Officer to join the CIB Macro Business Aligned...Exchange Lines of Business as well as the CFTC Swap Dealer within the Markets Division. This… more
- SMBC (New York, NY)
- …Back office processes specific to derivatives, fixed income and FX * Prior banking, Swap Dealer related compliance and risk management requirements & best ... Unit interaction with 2nd Line of defense functions including Risk Management and Compliance . * Leads and provides expert guidance on assessment of processes and… more
- Scotiabank (New York, NY)
- …of Scotiabank's US broker- dealer (including internal inspections), banking, swap dealer , futures commission merchant, investment management activities, ... institutional trading & sales, investment banking, futures commission merchant, swap dealer activities, commercial banking, investment management, and… more
- SMBC (Jersey City, NJ)
- …of this function will encompass SMBC Group's Americas Division, inclusive of US broker dealer and registered swap dealer ; SMBC Group's wholesale and retail ... to drive monitoring and testing activities and to prioritize Compliance and other resources as new emergent risks are...of either US banking regulations (FRB, FDIC, CFPB) or securities/ swap dealer regulations (SEC, CFTC, FINRA, NFA)… 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
- HSBC (New York, NY)
- …and ensuring HSBC is compliance with CFTC, CSA, and SEC Securities-based Swap Dealer regulations. + Provide leadership and guidance to develop and strengthen ... + Demonstrates an excellent understanding of CFTC, CSA and SEC Securities-based Swap Dealer trade reporting requirements in the financial market + Detailed… 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...the opportunity to collaborate with senior stakeholders and drive compliance initiatives that impact our business worldwide. As a… more
- JPMorgan Chase (New York, NY)
- …FINRA for North America Legal Entities, especially those acting as Future Commission Merchant and Swap Dealer in order to assess impact to Credit Risk; ensuring ... rules, related to the supervision and risk management of credit exposures in broker- dealer operations; ensuring compliance with Title VII of the Dodd-Frank Act,… more
- Citigroup (Getzville, NY)
- …oversight of regulatory reporting, including exception management and risk mitigation across swap dealer reporting. The group is responsible for:_ + ... initiatives and enhancements + Control and exception management on swap dealer reports + Industry level advocacy...+ Work closely with colleagues from Operations & Technology, Compliance , Legal, Risk & Control and business unit managers… more
- Citigroup (Getzville, NY)
- …team, specializing in data-driven regulatory reporting, analysis, and quality assurance for swap dealer reporting. We ensure accurate and compliant reporting by ... efficient data flows. + Managing data quality controls and exception management for swap dealer reports, leveraging data profiling and analysis techniques. +… more
- Mizuho Corporate Bank (New York, NY)
- …equities, electronic and program trading, equity research, sales, trading mandates, markets conduct, swap dealer and security-based swap dealer as ... Volcker rule). Knowledge of financial services operations, finance, liquidity, compliance , conduct, financial crime, technology, credit risk, market risk, regulatory… more
- Bank of America (Charlotte, NC)
- …The Regulatory Reporting Controller II role is within the GRR Broker Dealer organization responsible for the preparation of Regulatory Reporting calculations (SEC ... Rule 15c3-3) for locally regulated entities including broker dealers, swap dealers and other legalentities. Responsiblefor performing and documenting control… more
- Scotiabank (New York, NY)
- …designation an asset + SIE, Series 7 and Series 63 licenses. + Associated Person of swap dealer . NFA Swap Proficiency Requirement within 30 days + Strong ... and decisions. + Manage trading inventories and generate trading revenues in compliance with limits and the bank's risk profile. + Actively pursues effective… more