- ManpowerGroup (Jersey City, NJ)
- …relevant rules. **Responsibilities** + Advise and implement enhancements to the overall Swap Dealer Compliance Program, including policies and procedures ... conflicts of interest and other issues that may arise in running the Swap Dealer Compliance Program + Advise the business on regulatory requirements,… more
- SMBC (Jersey City, NJ)
- …**Role Description** SMBC's Compliance Department Americas Division is seeking a VP of Swap Dealer Compliance Monitoring & Testing (M&T). The VP is ... reporting. **Qualifications and Skills** + 7+ years of swap dealer experience + Has a Compliance Testing, NFA or Internal Audit background + Able to work… more
- Citigroup (New York, NY)
- … Officers. **Responsibilities:** + Designing, developing, delivering and maintaining best-in-class Swap Dealer Compliance , programs, policies and practices ... on compliance risk management activities for Citi's swap dealer entities with a focus on...relation to compliance with CFTC and SEC Swap Dealer regulations; supporting swap … more
- SMBC (New York, NY)
- …Well organized with project management skills. + At least 7-10 years of Swap Dealer Compliance experience. Additional relevant professional experiences, ... Director will be primarily focused on providing oversight and Compliance advisory support with respect to swap ...and Compliance advisory support with respect to swap transaction reporting activities. This will include acting as… more
- ManpowerGroup (New York, NY)
- …and Testing program, and will have coverage over the banks Swap Dealer Operations. **Job Title: Vice President, Compliance Monitoring & Testing (Swaps)** ... of the applicable rules and regulations. **What's Needed?** + 7+ years of swap dealer experience + Compliance Testing, NFA, or Internal Audit background +… more
- Citigroup (Jersey City, NJ)
- …Management (ICRM)'s Compliance Independent Assessment (CIA) Team responsible for assessing compliance with Volcker rule, Swap dealer requirements and ... 10+ years' managerial experience of large teams + Extensive global Volcker, Swap Dealer and Markets compliance and audit related experience, and strong… more
- NatWest Markets (Stamford, CT)
- …to swap dealer + Recommend and assistinimplementingchanges to the swap dealer compliance program, relevantpoliciesand procedures on an ongoing basis. ... industry experience. Essential: + Experience working within a legal or compliance function of a Swap Dealer on Dodd-Frank (Title VII) rules and regulations… more
- SMBC (New York, NY)
- …the company's culture of compliance . This individual will be responsible for bank, broker- dealer and swap dealer regulatory compliance across support ... infrastructure compliance program, including bank, securities and swap dealer laws and regulations. This position...**Role Objectives** + Coordinate bank, broker- dealer , and swap dealer regulatory Compliance programs… more
- ManpowerGroup (New York, NY)
- …of swap transactions. **Key Responsibilities:** + Conduct comprehensive audits of swap dealer activities to ensure compliance with regulatory ... expansion, we are seeking a highly skilled and motivated Swap Dealer Auditor to join our team....Auditor, you will play a crucial role in ensuring compliance with regulatory requirements and internal policies related to… more
- Citigroup (New York, NY)
- …on CFTC and SEC obligations for swap dealers and security based swap dealers. Experience advising on broker- dealer regulations is also desirable. The ... that supports Citi business lines, legal entity management teams, Compliance , and Regulatory Engagement teams. The group provides technical...requirements for swap dealers and security based swap dealers; + advising on US broker dealer… more
- SMBC (Jersey City, NJ)
- …of this function will encompass SMBC Group's Americas Division, inclusive of US broker dealer and registered swap dealer ; SMBC Group's wholesale and retail ... SMBC Group is seeking a Vice President for the Compliance Risk Assessment team ("CRA team") within the ...of this role will be on the US broker dealer and US swap dealer .… more
- KPMG (Mclean, VA)
- …management function, capital markets organization (Asset Management Firm/Investment Adviser, Broker Dealer , Wealth Management Firm, Swap Dealer , ... **Business Title:** Director, Markets Compliance **Requisition Number:** 118215 - 97 **Function:** Advisory **Area of Interest:** **State:** VA **City:** McLean… more
- Scotiabank (New York, NY)
- …banking organization with institutional trading & sales, investment banking, institutional broker dealer or FCM/ swap dealer businesses. + Experience leading ... Senior Manager, US Compliance Risk Assessment **Requisition ID:** 207309 **Salary Range:**...assessments processes. + Familiarity with US bank and broker dealer laws, rules, and regulations applicable to non-US banks… more
- BP Americas, Inc. (Omaha, NE)
- … Compliance Monitoring Tools). **Preferred Skills:** + Experience with Dodd-Frank Swap Dealer regulations + Excellent presentation, oral and written ... Strategy, Sustainability & Ventures **Job Family Group:** Ethics & Compliance Group **Job Description:** Our purpose is to bring...to grow as the world's leading energy company! The Compliance Manager is a key member of the Ethics… more
- Truist (Atlanta, GA)
- …ensuring compliance with regulatory rules (Market Risk Rule, FRTB, Volcker Rule, Swap Dealer Rule Initial Margin, SCCL, etc.) and guidelines pertaining to ... programs for capital markets related regulations (Market Risk Rule, FRTB, Volcker Rule, Swap Dealer Rule, etc.). 11. Self-starter, capable of operating with… more
- US Bank (Chicago, IL)
- …stakeholders to implement and maintain the operational solutions necessary to support the Swap Dealer rates and commodity business. The Business Analyst will ... teams across Derivative Trading Front Office, Technology & Operations Services, Compliance , Legal, Market Risk Management, Treasury, and Finance to deliver necessary… more
- Marex (Chicago, IL)
- …level standards of integrity and conduct and reflecting Company Values. * Assist with swap dealer reporting and other FCM regulatory reporting. + At all times ... and procedures, and institute updates where needed + Ensuring compliance with the company's regulatory requirements under the SEC,...in the Financial Service Industry, especially with a swaps dealer is a preferred + *Attention to detail and… more
- SMBC (New York, NY)
- …of the Dodd Frank Act, CFTC Rule 23.600, the Volcker Rule, and Swap Dealer registration requirements. Communication and Leadership 1. Excellent communication ... and Hong Kong. SMBC CM is an established derivatives dealer with a broad product portfolio, with specific emphasis...across CUSO under FRB regulations. 2. Monitors the firms compliance with the Volcker Rule and produces monthly analysis.… more
- Citigroup (Washington, DC)
- …capital markets regulatory policy. The preferred candidate will have worked at a broker/ dealer , swap dealer , capital markets regulator, law firm, consulting ... across its businesses, functions, and geographies - including Risk, Finance, Legal, Compliance , Global Government Affairs and Citi's business units - to formulate… more
- City National Bank (San Francisco, CA)
- …CNB Capital Markets activity is conducted under bank permissible activities, not under registered swap dealer or broker dealer activity. This role is ... findings and perform root cause analysis, distinguishing between various levels of compliance and other types of risk. + Prepare and support corrective action… more