- EY (Charlotte, NC)
- …retail and institutional broker dealer compliance, capital markets, banking, swap dealer trading, investment management, and investment advisor compliance. ... Risk Management Advisor, FSRM (Sector Compliance) - Financial Services Office ( Manager ) (Multiple Positions)(1500793), Ernst & Young US LLP, Charlotte, NC. Assist… more
- PNC (Pittsburgh, PA)
- …regulation of the OTC Derivatives Market is required. . Previous experience working for a Swap Dealer , Clearing House, Swap Data Repository, Swap ... and interact with IT resources. . Previous experience tailoring and implementing the Swap Dealer internal training program. . Managerial skills, and ability to… more
- CIBC (New York, NY)
- …(https://www.cibc.com/en/about-cibc.html) JOB PURPOSE Compliance Examination Manager for Capital Markets/Broker- Dealer / Swap Dealer Reporting to the Head ... of US Compliance Examination Program, the Compliance Examination Manager is accountable for execution of the US Compliance...of business controls established to ensure adherence with US broker- dealer and US swap dealer … more
- Truist (Charlotte, NC)
- …asset financing. 5. Advanced knowledge of risk infrastructure including regulatory framework for broker dealer and swap dealer entities 6. FINRA Series 7, ... experience in financial services or related field. 3. Financial Risk Manager (FRM)/Certified Financial Analyst (CFA) or equivalent advanced risk certification. 4.… more
- Scotiabank (New York, NY)
- …Management, 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 (PMO) **Requisition...in an inclusive and high-performing culture. **Position** : Senior Manager , Regulatory and Business Initiatives Group (PMO) - New… more
- BP Americas, Inc. (New York, NY)
- …instruments, exposures, valuations, strategies and vernacular) + Experience with Dodd-Frank Swap Dealer regulations + Excellent presentation, oral and written ... grow as the world's leading energy company! The Compliance Manager is a key member of the Ethics &...** + The position reports to the Senior Compliance Manager and is primarily responsible for performing surveillance of… more
- SMBC (Jersey City, NJ)
- …subsidiary of SMBC. SMBC Capital Markets, Inc. was provisionally registered as a swap dealer with the Commodity Futures Trading Commission. **Role Objectives** + ... Participate in general BA work and project administration. + Work with Project Manager to ensure projects stays on track, report status, and escalate issues.… more
- Capital One (New York, NY)
- …Rate Derivatives to corporate clients + CPA, CFA, or MBA + Strong knowledge of Swap Dealer rules and regulations _At this time Capital One will not sponsor ... with industry leaders. + Exercise the usual authority of a manager concerning staffing, performance appraisals, promotions, salary recommendations, and terminations.… more
