- 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 note that the ... the overall success of GBM&T Compliance Testing team and Swap Dealer and Derivatives Compliance ensuring specific individual goals,...to support compliance testing for Scotiabank's compliance of CFTC Swap Dealer, SEC Security Based Swap Dealer… more
- NatWest Markets (Stamford, CT)
- Swap Dealer Testing VP Stamford,United States Permanent Full Time \#R-00249217 Our people work differently depending on their jobs and needs. From hybrid working to ... the proper operations of the department and the business._ ** Swap Dealer Testing VP (2LOD)** Reporting to the Senior...responsible for assessing compliance risks and controls within the Swap Dealer testing program. The candidate will be part… more
- PNC (Houston, TX)
- …to the company's success. As Compliance Program Specialist Senior within the Swap Dealer Compliance team, you will join PNC's Independent Risk Management ... discretion. As a Compliance Program Specialist Senior within the Swap Dealer Compliance team, you will monitor and test...team, you will monitor and test activity related to SWAP dealer and Capital Markets. This position supports business… more
- Citigroup (Jersey City, NJ)
- …Assessment (CIA) Team responsible for assessing compliance with Volcker rule, Swap dealer requirements and significant compliance risks and controls implemented by ... issue validation activities for the global Volker Independent Testing Program, Swap Dealer Program and Counterparty Risk and Trading business within Markets… more
- NatWest Markets (Stamford, CT)
- Swap Dealer Testing Associate Stamford,United States Permanent Full Time \#R-00249215 Our people work differently depending on their jobs and needs. From hybrid ... days must be carried out in the United States. **Job description** ** Swap Dealer Testing Associate** **2LOD** This roleis responsible forassessing compliance risks… more
- US Bank (Atlanta, GA)
- …discover what you excel at-all from Day One. **Job Description** SUMMARY The Swap Data Reporting Analyst reports to the Derivatives and FX Compliance Support Manager ... and other industry-wide initiatives that may have a material impact on swap data reporting. - Well-developed analytical, problem solving, and critical thinking… more
- Delaware North (Phoenix, AZ)
- …searching for full-time and part-time Cleaners to join our team at Phoenix Park n' Swap in Phoenix, Arizona. As a Cleaner, you will help create a great guest ... shift Holidays Weekends **Who we are** Delaware North Gaming operates Phoenix Park and Swap in Phoenix, Arizona, a fun and safe outdoor destination featuring new and… more
- ManpowerGroup (New York, NY)
- …financial services firm, is seeking an Internal Auditor to join their team. As a Swap Dealer Auditor, you will be part of the audit team supporting the swap ... and a strong background in auditing and regulatory compliance. **Job Title:** Swap Dealer Auditor **Location:** New York, New York (Remote) **Pay Range:**… more
- Citizens (Boston, MA)
- …unit risk function. The Senior Risk Manager will support the global markets and swap dealing businesses of Citizens, which sits within its CFTC-registered swap ... to junior analysts, relative to issue management and control inventory for swap dealer activities Experience and Skills: + Strong knowledge of internal controls… more
- Cargill (Minneapolis, MN)
- …for complex compliance support for Cargill Risk Management, a CFTC limited designation swap dealer. In this role, you will work closely with Cargill Risk ... Management's Deputy Chief Compliance Officer to manage swap dealer and commodities regulatory risk across the business. This position will primarily be responsible… more
- NatWest Markets (Stamford, CT)
- …within the Natwest Market's Sales and Trading business including the US Rates, Repo, Swap Dealer, and Credit Sales & Trading desks. The ideal candidate will be able ... The ideal candidate will have experience with broker-dealer and swap dealer rules and regulations and providing compliance support...sales and trading including but not limited to CFTC Swap Dealer Rules, TRACE Reporting, Primary Dealer Rules, and… more
- ManpowerGroup (New York, NY)
- …Range:** $80-85/HR W2 **What's the Job?** + Conduct comprehensive audits of swap dealer activities to ensure compliance with regulatory requirements. + Assess the ... effectiveness of internal controls related to swap transactions and recommend improvements as needed. + Stay...in the financial services industry with a focus on swap transactions. + Strong knowledge of regulatory requirements related… more
- Ricoh Americas Corporation (Buffalo, NY)
- …repair, including troubleshooting, diagnostics, installation, component replacement, device "hot swap ," removal, and retrofits on assigned equipment. + Document all ... and document complete troubleshooting information. + Assist in hot swap tasks to ensure user experience stays intact, including...procurement as required by the customer. + Manage hot swap inventory. + Document and report all fleet meter… more
- Ricoh Americas Corporation (Little Rock, AR)
- …repair including troubleshooting, diagnostics, installation, component replacement, device "hot swap ", removal, and retrofits on assigned equipment �. Documents all ... document complete trouble shooting information. �. Assist in hot swap tasks needed to ensure users experience stays intact....procurement as required by the customer. �. Manages hot swap inventory. �. Documents and reports all fleet meter… 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 ... supporting Trade and Transaction Reporting (CFTC, CSA and SEC Securities-based Swap Reporting) + Management of governance framework and controls around trade… more
- State of Colorado (CO)
- …consistency between guidance documents and the State Wildlife Action Plan ( SWAP ). Determine planning needs for aquatic invertebrate species identified as Species ... of Greatest Conservation Need in the SWAP . Assist with revisions of the SWAP ....the SWAP . Assist with revisions of the SWAP . Implement and/or coordinate on-the-ground conservation actions. Develop additional… more
- SMBC (New York, NY)
- …Competencies/Skills: + Extensive Compliance Advisory experience at a broker dealer and or swap dealer. + Strong knowledge in US securities and swaps laws, rules and ... regulations and broker and swap dealer operations. + Ability to communicate this knowledge...Regulatory compliance experience at a broker dealer and or swap dealer preferred. BA/BS required. Series 7, 24, 79… more
- Bank of America (Charlotte, NC)
- …Lead EFR coverage of SEC broker dealer net capital rules and CFTC swap dealer capital rules, including executing capital calculation testing and review and challenge ... including capital planning and forecasting for broker dealer and swap dealer entities, capital risk appetite limits, and subsidiary...of SEC broker dealer net capital rules and/or CFTC swap dealer capital rules + 8-12 years of Treasury,… more
- Citigroup (Tampa, FL)
- …Middle Office unit. The primary responsibility is managing a number of our Prime Swap clients while providing Trade Processing support to the Desk and Business. The ... demonstrate high-level knowledge and understanding of the Cash Equity and Equity Swap product. A general knowledge of derivatives is highly desirable. + Client… more
- NatWest Markets (Stamford, CT)
- …global regulatory and industry trends relevant to derivatives (specifically CFTC/NFA swap dealer rules and regulations) and SEC/FINRA rules governing broker-dealers. ... working within a legal or compliance function of a Swap Dealer or a broker dealer. + Understanding of...dealer. + Understanding of US regulatory requirements applicable to Swap Dealers and broker-dealers. + Understanding of regulatory risk… more
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