- Capital One (New York, NY)
- Trade Surveillance Manager (Broker-Dealer & Swap Dealer) **About the Role** We are seeking a highly skilled Trade Surveillance Manager to lead and enhance ... 5 years of trade surveillance, market regulation, or At least 5 years Compliance experience within a Broker-Dealer or Swap Dealer environment. **Preferred… more
- MUFG (Irving, TX)
- …day. A member of our recruitment team will provide more details. **Job Summary:** Americas Compliance Testing (ACT) is an integral part of the MUFG Regulatory ... Compliance Risk Management function. This position executes a compliance testing program designed to meet heightening regulatory standards and expectations… more
- Scotiabank (Dallas, TX)
- Manager , Compliance Testing **Requisition ID:** 245239 **Salary Range:** 76,600.00 - 142,300.00 _Please note that the Salary Range shown is a guideline only. ... policies and procedures. The primary responsibility of this position is to support compliance testing for Scotiabank's US operations. The US Compliance … more
- SMBC (New York, NY)
- …issue management across Combined US Operations (CUSO), the SMBC Capital Markets Swap Dealer, and Nikko Securities America's Broker-Dealer entity. This role provides ... VP will partner closely with Market Risk, Enterprise Risk, Non-Financial Risk, Compliance , Operations, Finance, and Front Office leadership to ensure consistent and… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $180,000 - $225,000 USD TD is committed to providing fair ... specific details for this role. **Job Description:** The Director Compliance TDS oversees/leads a team(s) of specialists/professionals providing advice, guidance… more
- ECOLAB (St. Paul, MN)
- Job Duties The Treasury Manager - Foreign Exchange will be responsible for managing and hedging the company's foreign exchange (FX) exposure. This involves executing ... banks to resolve FX settlement issues. Analyze net investment hedges opportunities, execute swap trades to improve interest income, and manage the swap … more
- TD Bank (New York, NY)
- …and coordinate with our Risk Owners to assist and show coverage alongside the Compliance testing and monitoring plan coverage of key risks and business units ... challenge. + Maintain and update procedures, templates and tools as required. + Assist Compliance testing with test execution that contributes to the overall … more
- TD Bank (New York, NY)
- …+ Communicate deficiencies to key stakeholders and exercise credible challenge. + Assist Compliance testing with test execution that contributes to the overall ... is a key member of the TDS US Compliance Monitoring & Testing (M&T) Team, responsible...years of experience with a registered US broker dealer, swap dealer, Global Systematically Important Bank (GSIB), or associated… more
- ADM (Chicago, IL)
- …ADM global affiliates, clearing exchanges, brokers and customers. The position reports to a compliance manager . We have a strong team that works well together. ... daily trading activity alerts within Validus system. + Perform testing and reviews of compliance policies and...a team to accomplish assigned projects + Experience with Swap related compliance requirements a plus +… more
- US Bank (Charlotte, NC)
- …innovative operational solutions, and client support. The CAS Senior Audit Project Manager is primarily responsible for supervising staff in the completion of audit ... supervision from managers, however there are no direct reports. The Senior Audit Project Manager is a subject matter expert in a particular topic, helping to drive… more
- SMBC (New York, NY)
- …Management + Compliance Training + Issues Management + Monitoring & Testing + Compliance Risk Assessment + Communications and Transaction Surveillance + ... skills. + Regulatory compliance experience at a broker dealer and or swap dealer preferred. BA/BS required. JD Preferred. Series 7, 24, 79 a plus. SMBC's… more
- TD Bank (New York, NY)
- …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 specific details for this role. **Job Description:** The VP Compliance TDS oversees/leads a team(s) of specialists/professionals providing advice, guidance and… more
- BD (Becton, Dickinson and Company) (Sandy, UT)
- …collaborating closely with the Training Department, Sales Teams, and Field Operations Manager . Primarily, the FIC is responsible for organization and maintenance of ... assisting in the management of field trunk stock, competitive swap outs, etc., at the direction of the Field...outs, etc., at the direction of the Field Inventory Manager (FOM). Additionally, the FIC will support MDS Sales… more
- Bank of America (Charlotte, NC)
- …regulatory returns for locally regulated legal entities including broker dealers, swap dealers and other legal entities. Key responsibilities include overseeing and ... sourcing automation projects by communicating reporting requirements, performing UAT testing , and other activities as needed. + Manage cross-report/cross-schedule… more
- BAE Systems (Hudson, NH)
- …communications skills. The candidate will support the APKWS International Program Manager through coordination and overall communications with the baseline APKWS ... activities.The candidate will also support the development of verifiable requirements and compliance matrix files for the Foreign Military Sales segment of APKWS,… more
- TD Bank (New York, NY)
- …+ Provides new issue documentation (eg ISDA negotiations, term sheet, book runner, and swap summary) + Provides support of the team on all fixed income new issues ... Understands and complies with TD Securities (USA) Policies, regulatory and compliance requirements, ensuring that transactions are fully documented and processed… more
- L3Harris (Fort Wayne, IN)
- …EO/IR payload design that can be implemented in low size, weight, and power ( SWaP ) space systems. Candidate will provide direct contributions and act as a technical ... lead and group manager in mechanical design, analysis, integration into flight hardware,...experience + Experience working with government contracts, requirements, and compliance + Experience with payload level design and development… more
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