- Capital One (New York, NY)
- Trade Surveillance Manager (Broker- Dealer & Swap Dealer ) **About the Role** We are seeking a highly skilled Trade Surveillance Manager to lead and ... enhance the firm's surveillance program across both its institutional Broker- Dealer (BD) and Swap Dealer (SD) businesses. This individual will oversee… more
- SMBC (New York, NY)
- …well organized with project management skills. + Regulatory compliance experience at a broker dealer and or swap dealer preferred. BA/BS required. JD ... is conducted and transactions are executed. **Role Objectives** The Broker Dealer Regulatory Governance Advisory Team within the CPAD Advisory Function provides… more
- SMBC (New York, NY)
- …and issue management across Combined US Operations (CUSO), the SMBC Capital Markets Swap Dealer , and Nikko Securities America's Broker- Dealer entity. This ... Risk Governance: - Support all market risk governance obligations under CFTC Swap Dealer rules, including Risk Management Program (23.600), Supervision (23.602),… more
- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking a Business Execution Senior Manager for our Global Regulatory Reporting Transformation Team as part of Corporate ... Management, Data Analysis, and/or Strategic Planning + Experience with Regulatory Reporting, including Swap Dealer / Broker Dealer / Qualified Financial… more
- Scotiabank (Dallas, TX)
- Senior Manager , Regulatory and Business Initiatives Group **Requisition ID:** 236169 **Salary Range:** 102,800.00 - 196,800.00 _Please note that the Salary Range ... Planning, Operational Resiliency, OTC Remediation/ CFTC initiatives, FRTB, and Security based Swap Dealer in support of regulatory findings. **What You'll Do**… more
- MUFG (Irving, TX)
- … management and regulatory expectations. Reviews will include assessment of the Swap Dealer program, Volcker Rule program, Market Conduct, Market Access, ... Title VII as it pertains to the obligations of Swap Dealers and Security-Based Swap Dealers, Volcker...and second-line of defense controls and prepare reviews for senior management detailing assessment of the effectiveness of the… 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...and metrics on remediation efforts to be delivered to senior management committees and the Board of Directors of… 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 specific details for this role. **Job Description:** This Senior Compliance Officer is a key member of the...more years of experience with a registered US broker dealer or regulator. + JD desirable but not required… 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 ... report on the status of Compliance policy and procedure initiatives to senior management, relevant boards and external stakeholders + Participate in special projects… 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 ... service skills - experience demonstrating sound judgment and close partnership with senior managers and other stakeholders globally, as well as relationship and… more