- Capco, a Wipro Company (New York, NY)
- …and ensuring our clients grow, change and compete. **About the Role:** As a Program Manager within the Capital Markets team, you will advise and deliver ... Do:** + Specialize in implementations to adhere to global Swap Dealer Compliance related rules and regulations...FCA, MAS, ASIC, JFSA + Working knowledge of multiple project/ program management methodologies including, but not limited to Agile… more
- SMBC (New York, NY)
- …well organized with project management skills. + Regulatory compliance experience at a broker dealer and or swap dealer preferred. BA/BS required. JD ... is conducted and transactions are executed. **Role Objectives** The Broker Dealer Regulatory Governance Advisory Team within the CPAD Advisory Function provides… more
- JPMorgan Chase (Jersey City, NJ)
- …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)
- …not required + 5 or more years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or associated ... responsible for working on developing, implementing and coordinating the Compliance Oversight program over first line Risk Owner (RO) activities contributing to the… 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 ... risk. **Key Responsibilities:** + Design and implement a robust regulatory inquiries program that includes: + leading response to regulatory inquiries and subpoenas,… 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 ... for working on the development, implementation and coordination of the Monitoring program , as well as aspects of compliance test execution that contribute to… more
- TD Bank (New York, NY)
- …**Preferred Qualifications:** + 5-7 years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or ... created team within US Wholesale Compliance focused on remediation and program development and improvement within TDS. **Key Responsibilities:** Responsible for… 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 ... a newly created team within US Wholesale Compliance focused on remediation and program development and improvement within TDS. This Director role will focus on… more