- 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
- Scotiabank (New York, NY)
- …of Scotiabank's US broker- dealer (including internal inspections), banking, swap dealer , futures commission merchant, investment management activities, ... Manager , Compliance Testing **Requisition ID:** 200276 **Salary Range:**...institutional trading & sales, investment banking, futures commission merchant, swap dealer activities, commercial banking, investment management,… more
- TD Bank (New York, NY)
- …new initiatives in commodities, derivatives and other products, primarily fixed income + Advising on swap dealer , security-based swap dealer and broker ... you succeed. You'll have regular career, development, and performance conversations with your manager , as well as access to an online learning platform and a variety… 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
- US Bank (Charlotte, NC)
- …knowledge of Global Capital Markets and Market Risk businesses and related regulations ( Swap Dealer , SEC, FINRA, MSRB, Market Risk Rule, Volcker Rule, etc) ... at-all from Day One. **Job Description** The Audit Project Manager is responsible for overseeing and executing audits supporting...Markets and Market Risk audit plan. The Audit Project Manager is primarily responsible for supervising staff in the… more
- PNC (Cleveland, OH)
- …Registered Investment Advisers, and Corporate and Institution, including Capital Markets, the Swap Dealer and Treasury Management. This position is primarily ... to the company's success. As an Internal Audit Process Manager you will be within PNC's Internal Audit organization,...regular basis. Some responsibilities may be performed remotely, at manager 's discretion. Are you interested in an opportunity to… 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