- PNC (Pittsburgh, PA)
- …regulation of the OTC Derivatives Market is required. . Previous experience working for a Swap Dealer , Clearing House, Swap Data Repository, Swap ... and interact with IT resources. . Previous experience tailoring and implementing the Swap Dealer internal training program. . Managerial skills, and ability to… more
- Citigroup (New York, NY)
- Serves as key function/business/product compliance risk manager and thought leader for Independent Compliance Risk Management (ICRM) responsible for establishing ... internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and deliver a risk management framework that maintains risk levels within the firm's risk appetite and protect the franchise. In… more
- CIBC (New York, NY)
- …(https://www.cibc.com/en/about-cibc.html) JOB PURPOSE Compliance Examination Manager for Capital Markets/Broker- Dealer / Swap Dealer Reporting to the Head ... of US Compliance Examination Program, the Compliance Examination Manager is accountable for execution of the US Compliance...of business controls established to ensure adherence with US broker- dealer and US swap dealer … more
- Capital One (New York, NY)
- …Audit and exam support as a key component of the role. **Responsibilities** **:** ** Swap Dealer Regulatory Onboarding** **:** + Lead and manage the day-to-day ... (22957), United States of America, New York, New York Senior Manager , Capital Markets Regulatory Onboarding Capital One's Commercial Operations provides support… more
- Truist (Charlotte, NC)
- …asset financing. 5. Advanced knowledge of risk infrastructure including regulatory framework for broker dealer and swap dealer entities 6. FINRA Series 7, ... experience in financial services or related field. 3. Financial Risk Manager (FRM)/Certified Financial Analyst (CFA) or equivalent advanced risk certification. 4.… more
- PNC (Pittsburgh, PA)
- …Registered Investment Advisers, and Corporate and Institution, including Capital Markets, the Swap Dealer and Treasury Management. This position is primarily ... to the company's success. As an Internal Audit Process Manager you will be within PNC's Internal Audit organization,...regular basis. Some responsibilities may be performed remotely, at manager 's discretion. Are you interested in an opportunity to… more
- BP Americas, Inc. (New York, NY)
- …instruments, exposures, valuations, strategies and vernacular) + Experience with Dodd-Frank Swap Dealer regulations + Excellent presentation, oral and written ... grow as the world's leading energy company! The Compliance Manager is a key member of the Ethics &...** + The position reports to the Senior Compliance Manager and is primarily responsible for performing surveillance of… more
- SMBC (White Plains, NY)
- …development and integration of systems to support the Compliance department covering our Swap Dealer (Interest Rate Derivatives) and Broker Dealer ... future. As a result of this expansion, we are seeking an experienced Technology Manager to build and lead our Compliance Technology initiatives. In this position you… more
- Capital One (New York, NY)
- …Rate Derivatives to corporate clients + CPA, CFA, or MBA + Strong knowledge of Swap Dealer rules and regulations _At this time Capital One will not sponsor ... with industry leaders. + Exercise the usual authority of a manager concerning staffing, performance appraisals, promotions, salary recommendations, and terminations.… more
- SMBC (Jersey City, NJ)
- …subsidiary of SMBC. SMBC Capital Markets, Inc. was provisionally registered as a swap dealer with the Commodity Futures Trading Commission. **Role Objectives** + ... Participate in general BA work and project administration. + Work with Project Manager to ensure projects stays on track, report status, and escalate issues.… more