- CIBC (NY)
- …CIBC, please visit CIBC.com (https://www.cibc.com/en/about-cibc.html) **What You'll Be Doing** The Global Swap Dealer Compliance Officer is responsible for ... trade and position reporting reviews, and analytical functions to support CIBC's Global Swap Dealer Compliance program. The Global Swap Dealer … more
- NatWest Markets (Stamford, CT)
- Swap Dealer Advisory, VP ... dealer + Recommend and assistinimplementingchanges to the swap dealer compliance program, relevantpoliciesand ... industry experience. Essential: + Experience working within a legal or compliance function of a Swap Dealer on Dodd-Frank (Title VII) rules and regulations… more
- NatWest Markets (Stamford, CT)
- Broker Dealer Advisory - VP Stamford,United States...NFA regulation. + Knowledge of broker- dealer and swap dealer compliance laws, rules ... Sales and Trading business including the US Rates, Repo, Swap Dealer , and Credit Sales & Trading...experience with broker- dealer and swap dealer rules and regulations and providing compliance … more
- HSBC (New York, NY)
- …of all significant regulatory compliance requirements applicable to the businesses + Swap Dealer and Broker Dealer compliance control testing ... and thematic reviews on issues, opportunities and/or strategic change. As our VP Risk and Compliance Assurance you will: + Utilize SME knowledge in the … more
- NatWest Markets (Stamford, CT)
- US Client Services and Onboarding, Vice President Stamford,United States Permanent Full Time \#R-00240566 Our people work differently depending on their jobs 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
- MUFG (New York, NY)
- …and familiarity with Broker - Dealer and applicable regulations, such as DFA Swap Dealer , Volcker and FINRA, SEC and NASD rules. + Experience working with ... May supervise staff during an audit engagement at the VP Level and below. **Major Responsibilities:** + Act as...impact on risk and/or risk management practices. + Maintain compliance with audit methodology, while also operating within industry… more
- SMBC (Jersey City, NJ)
- …portfolio of benefits to its employees. **Role Description** SMBC Group is seeking a Vice President for the Compliance Risk Assessment team ("CRA team") ... Director, Head of Risk and Control Assessment. As a Compliance Risk Assessment ("CRA") Vice President...encompass SMBC Group's Americas Division, inclusive of US broker dealer and registered swap dealer ;… more