- Scotiabank (New York, NY)
- Compliance Testing Senior Manager , Swap Dealer and Derivatives Compliance **Requisition ID:** 220508 **Salary Range:** 117,400.00 - 224,700.00 _Please note ... to the overall success of GBM&T Compliance Testing team and Swap Dealer and Derivatives Compliance ensuring specific individual goals, plans, initiatives are… more
- PNC (Boston, MA)
- …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
- Citigroup (Tampa, FL)
- …aspects in managing the US Broker Dealer and its related activities as a CFTC Swap Dealer and FCM. This role entails managing the risk of this legal entity ... to join the CRO team of Citi's US Broker Dealer legal entity. The objective of the role is...appropriate. + Enhance controls and assessments captured in the Manager 's Control Assessment + Candidate will need to work… more
- Bank of America (Charlotte, NC)
- …Lead EFR coverage of SEC broker dealer net capital rules and CFTC swap dealer capital rules, including executing capital calculation testing and review and ... Enterprise Financial Risk Capital Risk Manager Charlotte, North Carolina;New York, New York **Job...management activities, including capital planning and forecasting for broker dealer and swap dealer entities,… 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:** 223397 **Salary Range:**...institutional trading & sales, investment banking, futures commission merchant, swap dealer activities, commercial banking, investment management,… 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...shaping our control environment. As a Legal Entity Control Manager , you'll have the opportunity to collaborate with senior… more
- TD Bank (New York, NY)
- …risk. **Responsibilities:** + Oversee the registration requirements for four broker-dealers, the swap dealer , and the security-based swap dealer ... . + Manage registrations and licensing team primarily responsible for FINRA and swap - dealer individual and branch registrations. + Responsible for routine and ad… more
- Bank of America (Jersey City, NJ)
- …The Regulatory Reporting Controller II role is within the GRR Broker Dealer organization responsible for the preparation of Regulatory Reporting calculations (SEC ... Rule 15c3-3) for locally regulated entities including broker dealers, swap dealers and other legalentities. Responsiblefor performing and documenting control… more
- Shell (Houston, TX)
- …management principles and product structures + Experience with regulatory compliance in swap dealer environment + Excellent relationship management skills with ... base while ensuring regulatory compliance. **Where You Fit In** Reporting to the STRM Manager , this role is part of the Trading & Supply business. You will lead… more
- Robert Half Finance & Accounting (Burlington, VT)
- …Reconcile the DMV registration schedule. Process DMV customer refunds with Manager 's approval. + Coordinate with Office Managers information necessary to hold/or ... DMV information is missing. + Complete the processing of swap and wholesale deals. + Post all new/used vehicles...audits of K-208, used titles, certificate of origins, and dealer plates. + Ensure all policies and procedures are… more