- 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 ... the overall success of GBM&T Compliance Testing team and Swap Dealer and Derivatives Compliance ensuring specific...and exception items noted during the review process to senior management. + Ensure that the stakeholders respond with… more
- Scotiabank (New York, NY)
- Senior Manager , Swap Dealer and Derivatives Compliance **Requisition ID:** 230322 **Salary Range:** 117,400.00 - 224,700.00 _Please note that the Salary ... initiatives are executed and delivered in support of the Swap Dealer Compliance team's business strategies and...identify issues and communicate recommendations in order to provide senior management with a sound basis on which informed… more
- PNC (New York, NY)
- …may be performed remotely, at manager 's discretion. As a Compliance Program Specialist Senior within the Swap Dealer Compliance team, you will monitor ... to contribute to the company's success. As Compliance Program Specialist Senior within the Swap Dealer Compliance team, you will join PNC's Independent… 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
- 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