- Capital One (New York, NY)
- …market regulation, or At least 5 years Compliance experience within a Broker- Dealer or Swap Dealer environment. **Preferred Qualifications** + Advanced ... market regulation, or 6+ years compliance experience within a Broker- Dealer or Swap Dealer environment. + Relevant certifications (FINRA Series 7/24, NFA… 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 ... Range:** $80/HR W2 **What's the Job?** + Conduct comprehensive audits of swap dealer activities to ensure compliance with regulatory requirements. + Assess… more
- SMBC (New York, NY)
- …with project management skills. + Regulatory compliance experience at a broker dealer and or swap dealer preferred. BA/BS required. JD Preferred. ... portfolio of benefits to its employees. **Role Description** The SMBC Compliance Advisory Function resides within Compliance Department Americas Division… more
- Capital One (Mclean, VA)
- …will possess a risk mindset and has experience in Capital Markets Operations, Swap Dealer Requirements, Compliance or Audit. **Responsibilities** + Manage ... initial margin threshold with each counterparty to ensure we establish swap documentation timely + Identifies margin discrepancies, manages valuation dispute process… more
- SMBC (New York, NY)
- …and issue management across Combined US Operations (CUSO), the SMBC Capital Markets Swap Dealer , and Nikko Securities America's Broker- Dealer entity. This ... Risk Governance: - Support all market risk governance obligations under CFTC Swap Dealer rules, including Risk Management Program (23.600), Supervision (23.602),… more
- SMBC (New York, NY)
- …and Coordination Team across Combined US Operations (CUSO), the SMBC Capital Markets Swap Dealer , and Nikko Securities America's Broker- Dealer entity. This ... closely with the team and senior stakeholders across Risk, Compliance , Legal, Operations, and Front Office to maintain strong...support market risk issue management process for the Bank, swap dealer , and broker- dealer entities.… more
- MUFG (Irving, TX)
- …senior management and regulatory expectations. Reviews will include assessment of the Swap Dealer program, Volcker Rule program, Market Conduct, Market Access, ... recruitment team will provide more details. **Job Summary:** Americas Compliance Testing (ACT) is an integral part of the...Title VII as it pertains to the obligations of Swap Dealers and Security-Based Swap Dealers, Volcker… more
- Scotiabank (Dallas, TX)
- …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
- TD Bank (New York, NY)
- …but not required. + 7-10 years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or associated ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $180,000 - $225,000 USD TD is...and standardize annual reporting to regulators across broker-dealers and swap dealers and draft relevant content + Act as… more
- TD Bank (New York, NY)
- …not required + 5 or more years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or associated ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $110,000 - $135,000 USD TD is...more years of experience with a registered US broker dealer or regulator. + JD desirable but not required… more
- TD Bank (New York, NY)
- …but not required. + 7 years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or associated ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $150,000 - $180,000 USD TD is...specific details for this role. **Job Description:** This VP, Compliance is a key member of the TDS US… more
- SMBC (Jersey City, NJ)
- …on technical regulatory issues involving our New York Branch, Bank Holding Company, broker/ dealer , swap dealer and other affiliates. This role will ... deep technical knowledge of US regulatory rules, including capital requirements across banking, broker/ dealer , and swap dealer entities. + Review and… more
- TD Bank (New York, NY)
- …but not required. + 5-7 years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or associated ... New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $140,000 - $180,000 USD TD is committed to providing fair… more
- CIBC (New York, NY)
- …+ Minimum 5+ years' experience in handling securities and OTC derivative/ swap compliance issues gained at an investment dealer , regulator or marketplace + ... registered broker- dealer securities trading products, as well as OTC derivative/ swap trading products, with primary focus on: Cash Equities, Program Trading,… more
- Citizens (Boston, MA)
- …related to clients are managed by the Client Onboarding team. As a registered Swap Dealer , the Onboarding function is heavily monitored for accuracy and ... a working knowledge of Dodd Frank requirements related to Swap Dealer business will be essential to...Collateral Management, PM/RM teams, Client Services, Sales, Risk Management, Compliance , and other business partners * Identify and implement… more
- US Bank (Chicago, IL)
- …Compliance /Audit competencies + Considerable knowledge of applicable laws, regulations ( Swap Dealer Reporting, Volker Rule, Dodd-Frank), financial services, ... integrating other internal audit subject matter teams (product/service, technology, compliance , financial crimes, etc.) to ensure appropriate and efficient coverage… more