- Santander US (Miami, FL)
- Swap Dealer Regulation Controls & Operational... control team to review, monitor and track controls related to BSSA Swap Dealer ... You will be responsible for the execution of day-to-day controls related to the Swap Dealer...activity as dictated by Global. * Work with control team to ensure SLAs are up to date… more
- City National Bank (Los Angeles, CA)
- …CNB Capital Markets activity is conducted under bank permissible activities, not under registered swap dealer or broker dealer activity. This role is ... *SENIOR BUSINESS CONTROLS MANAGER* WHAT IS THE OPPORTUNITY? The Senior Business Control Manager will report into the Business Control Officer of Commercial… more
- Huntington National Bank (Columbus, OH)
- …obtain within 6 months of hire. Preferred Qualifications: + Experience or exposure to Swap Dealer Compliance programs. + Ability to work in a fast-paced ... OCC and MSRB rules and regulations with emphasis on Regulation 9, the 1940 Investment Advisors Act and the...senior leaders to ensure there is effective governance and controls that operate within the enterprise Compliance Framework. Duties… more
- Wells Fargo (Charlotte, NC)
- …Broker Dealers, and associated regulators (eg, investment banking, financial markets, Broker- Dealer , Swap Dealer , Futures Commission Merchant, asset-backed ... line + Identify and recommend opportunities for process improvement and risk control development + Provide direction to the business on developing corrective action… more