- State Street Corporation (Boston, MA)
- Who we are looking for Swap Dealer Compliance seeks a Compliance Officer to advise internal stakeholders on implementation and development of Commodity ... be Responsible for *Advising and implementing enhancements to the overall Swap Dealer Compliance Program, including policies and procedures *Assisting in… more
- BNP Paribas (Wayne, PA)
- …Ability to work well under pressure. FINRA Registrations Required: Not Applicable CFTC Swap Dealer Associated Person (if yes, NFA Swaps Proficiency Program is ... the ability to influence stakeholders at the team level. Compliance Culture and Conduct: Takes full responsibility for personal...required): Not Applicable SEC Security-Based Swap Dealer Associated Person: Not Applicable The… more
- Goldman Sachs, Inc. (Salt Lake City, UT)
- …is looking for a Vice President to join the team. GSCO is the firm's primary US broker- dealer and swap dealer , providing a broad range of services to a ... Controllers also ensure that the firm's activities are conducted in compliance with the regulations governing transactions in the financial markets. Responsibilities… more
- Scotiabank (New York, NY)
- …retains, develops, and motivates their team by fostering an inclusive work environment. + Work with Swap Dealer Compliance Advisory Team to perform Swap ... Compliance Testing Senior Manager, Swap Dealer and Derivatives Compliance **Requisition ID:** 220508 **Salary Range:** 117,400.00 - 224,700.00 _Please… more
- CIBC (New York, NY)
- …about CIBC, please visit CIBC.com (https://www.cibc.com/en/about-cibc.html) **What You'll Be Doing:** The Swap Dealer Compliance Officer is responsible for ... performing important advisory, training, surveillance and analytical functions to support CIBC's Swap Dealer Compliance program. The Swap Dealer … more
- PNC (Houston, TX)
- …contribute to the company's success. As Compliance Program Specialist Senior within the Swap Dealer Compliance team, you will join PNC's Independent Risk ... at manager's discretion. As a Compliance Program Specialist Senior within the Swap Dealer Compliance team, you will monitor and test activity related to … more
- Scotiabank (New York, NY)
- …individual goals, plans, and initiatives are executed and delivered in support of the Swap Dealer Compliance team's business strategies and objectives. This ... Senior Manager, Swap Dealer and Derivatives Compliance **Requisition ID:** 230322 **Salary Range:** 117,400.00 - 224,700.00 _Please note that the Salary… more
- PNC (Chicago, IL)
- …the Compliance Audit team supporting Corporate & Institutional Banking, Treasury Management, Swap Dealer & Broker Dealer . This position is primarily ... efficiently to get things done **Job Description** + Manages financial, compliance , and/or operational audit reviews, including the evaluation of design and… more
- ManpowerGroup (New York, NY)
- …communication and interpersonal skills, and a strong background in auditing and regulatory compliance . **Job Title:** Swap Dealer Auditor **Location:** New ... **Pay Range:** Competitive **What's the Job?** + Conduct comprehensive audits of swap dealer activities to ensure compliance with regulatory requirements. +… more
- NatWest Markets (Stamford, CT)
- …**This role is responsible for assessing compliance risks and controls within the Swap Dealer testing program. We are seeking an experienced compliance ... Regulatory Compliance Testing Associate Closing date for applications: 31/07/2025...professional to join a global financial institution to conduct Compliance Testing. You will conduct compliance reviews… more
- SMBC (New York, NY)
- …Back office processes specific to derivatives, fixed income and FX * Prior banking, Swap Dealer related compliance and risk management requirements & best ... Unit interaction with 2nd Line of defense functions including Risk Management and Compliance . * Leads and provides expert guidance on assessment of processes and… more
- Scotiabank (New York, NY)
- …of Scotiabank's US broker- dealer (including internal inspections), banking, swap dealer , futures commission merchant, investment management activities, ... institutional trading & sales, investment banking, futures commission merchant, swap dealer activities, commercial banking, investment management, and… more
- SMBC (Jersey City, NJ)
- …of this function will encompass SMBC Group's Americas Division, inclusive of US broker dealer and registered swap dealer ; SMBC Group's wholesale and retail ... to drive monitoring and testing activities and to prioritize Compliance and other resources as new emergent risks are...of either US banking regulations (FRB, FDIC, CFPB) or securities/ swap dealer regulations (SEC, CFTC, FINRA, NFA)… more
- Capital One (Mclean, VA)
- …of experience testing or monitoring in a compliance department for an institutional broker dealer or a swap dealer , or at least 3 years of experience ... compliance advisor in a compliance department for an institutional broker dealer or swap dealer + 4+ years of experience with NFA, FINRA SEC or CFTC… more
- ManpowerGroup (New York, NY)
- …**Pay Range:** $80-85/HR W2 **What's the Job?** + Conduct comprehensive audits of swap dealer activities to ensure compliance with regulatory requirements. ... you will be part of the auditing department supporting compliance and regulatory teams. The ideal candidate will have...+ Assess the effectiveness of internal controls related to swap transactions and recommend improvements as needed. + Stay… more
- JPMorgan Chase (Plano, TX)
- …Securities Dealer , Futures Commission Merchant, Commodity Pool Operator, and registered as a swap dealer and Security-Based Swap Dealer . JPMS LLC ... JPMorgan Securities LLC (JPMS LLC) is a licensed broker- dealer and investment adviser registered with the SEC...the opportunity to collaborate with senior stakeholders and drive compliance initiatives that impact our business worldwide. As a… more
- Wells Fargo (Charlotte, NC)
- …Broker Dealers, and associated regulators (eg, investment banking, financial markets, Broker- Dealer , Swap Dealer , Futures Commission Merchant, asset-backed ... **About this role:** Wells Fargo is seeking a Lead Compliance Officer in Corporate and Investment Banking (CIB) ...Compliance Officer in Corporate and Investment Banking (CIB) Compliance to lead various topics across CIB Compliance… more
- SMBC (Jersey City, NJ)
- …wholesale and retail banking operations; US and LATAM representative offices; US broker dealer and registered swap deal; Cayman Branch; Canada Branch; Brazilian ... SMBC Group is seeking an Associate to join the Compliance Controls Inventory team, which is a part of...Controls Inventory team, which is a part of SMBC's Compliance Department Americas Division ("CPAD"). This role will report… more
- JPMorgan Chase (New York, NY)
- …FINRA for North America Legal Entities, especially those acting as Future Commission Merchant and Swap Dealer in order to assess impact to Credit Risk; ensuring ... rules, related to the supervision and risk management of credit exposures in broker- dealer operations; ensuring compliance with Title VII of the Dodd-Frank Act,… more
- Citigroup (Getzville, NY)
- …oversight of regulatory reporting, including exception management and risk mitigation across swap dealer reporting. The group is responsible for:_ + ... initiatives and enhancements + Control and exception management on swap dealer reports + Industry level advocacy...+ Work closely with colleagues from Operations & Technology, Compliance , Legal, Risk & Control and business unit managers… more
