- ManpowerGroup (Jersey City, NJ)
- …York** **Pay Range:** $80.00/hour - $85.00/hour As a **Compliance, Swap Dealer ,** you will advise internal stakeholders on implementation and development ... Our client is seeking a Compliance, Swap Dealer to join their team....Audit stakeholders. Knowledge of SEC, CFTC & NFA swap regulations is preferred to uplift the compliance program… more
- NatWest Markets (Stamford, CT)
- …audit exams andassistingin effective remediation ofregulatory issuespertaining tothe Swap Dealer . **Experience** : + Experience withRates ... Swap Dealer Advisory, VP Closing date...flexible approach. + Having a positive working relationship with internal stakeholders and relevant regulators. + Investigatingpossible instancesof non-compliance… more
- Citigroup (New York, NY)
- …the role is responsible for advising on compliance risk management activities for Citi's swap dealer entities with a focus on Swap Data Reporting ... business lines and functions, globally, in relation to compliance with CFTC and SEC Swap Dealer regulations; supporting swap dealer program governance… more
- Citigroup (Jersey City, NJ)
- …years' managerial experience of large teams + Extensive global Volcker, Swap Dealer and Markets compliance and audit related experience, and strong knowledge ... Independent Assessment (CIA) Team responsible for assessing compliance with Volcker rule, Swap dealer requirements and significant compliance risks and controls… 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 responsible ... testing reviews. This role will have coverage for SMBC's Swap Dealer operations. The candidate should have... experience + Has a Compliance Testing, NFA or Internal Audit background + Able to work… more
- MUFG (New York, NY)
- …will provide more details. **Job Summary:** The Senior Auditor I role within Internal Audit is responsible for leading independent, objective assurance and ... Experience:** + 7+ years and/or equivalent of experience in internal audit and/or equivalent of experience with... Dealer and applicable regulations, such as DFA Swap Dealer , Volcker and FINRA, SEC and… more
- ManpowerGroup (New York, NY)
- …to our clients. As part of our expansion, we are seeking a highly skilled and motivated Swap Dealer Auditor to join our team. **Job Description:** As a Swap ... of swap transactions. **Key Responsibilities:** + Conduct comprehensive audits of swap dealer activities to ensure compliance with regulatory requirements. +… 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 ... framework to ensure the applicable regulatory compliance risks and internal controls are identified and assessed to determine the...of this role will be on the US broker dealer and US swap dealer .… more
- SMBC (New York, NY)
- …The role's coverage of business lines includes traditional banking (including digital bank), swap dealer and broker dealer . Product coverage includes but ... business initiatives and services introduced/proposed by sponsors + Engage with internal audit during annual audit of liquidity risk; remediate findings… more
- Scotiabank (New York, NY)
- …+ Maintain strong relationships with key stakeholders, including Compliance Advisory, Internal Audit , Enterprise Compliance, and the relevant business areas ... banking organization with institutional trading & sales, investment banking, institutional broker dealer or FCM/ swap dealer businesses. + Experience leading… more
- HSBC (New York, NY)
- …Understanding of all significant regulatory compliance requirements applicable to the businesses + Swap Dealer and Broker Dealer compliance control testing ... supporting regional teams by helping complete M&T work, in order to meet internal and regulatory expectations + Work closely with dedicated automation and analytics… more
- MUFG (New York, NY)
- …(ie FX Sales and Trading, Interest Rate Derivatives, equities, credit, securitized products) and Swap Dealer / Broker Dealer regulation are highly desirable, ... within the associated areas of operations, risk management, regulatory environment, or internal audit + BA/BS degree or equivalent experience in finance,… more
- NatWest Markets (Stamford, CT)
- …client operations processes, procedures and technology + Lead first line response to all internal audit , external audit and regulatory exams **Conduct and ... + In-depth knowledge of pre-trade client onboarding processes related to US broker-dealers, swap dealer and capital markets businesses with experience across a… more