- Citigroup (Jersey City, NJ)
- …Independent Assessment (CIA) Team responsible for assessing compliance with Volcker rule, Swap dealer requirements and significant compliance risks and controls ... Serves as a senior compliance risk manager for Independent Compliance Risk Management (ICRM)'s Compliance...validation activities for the global Volker Independent Testing Program, Swap Dealer Program and Counterparty Risk and… more
- KPMG (Montvale, NJ)
- …management function, capital markets organization (Asset Management Firm/Investment Adviser, Broker Dealer , Wealth Management Firm, Swap Dealer , ... **Business Title:** Manager , Capital Markets **Requisition Number:** 118214 - 58...a career in Advisory. KPMG is currently seeking a Manager to join our Advisory Services (https://advisory.kpmg.us/) practice. Responsibilities:… 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...assessments processes. + Familiarity with US bank and broker dealer laws, rules, and regulations applicable to non-US banks… 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 ... *SENIOR BUSINESS CONTROL MANAGER - CAPITAL MARKETS* WHAT IS THE OPPORTUNITY?...MARKETS* WHAT IS THE OPPORTUNITY? The Senior Business Control Manager will report into the Business Control Officer of… 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 ... is not limited to traditional banking (deposits, loans and commitments), derivatives and money market products (Repos and Reverse repos). The Associate/VP will combine their working knowledge of liquidity risk along with their technical skills to develop… more
- BP Americas, Inc. (Houston, TX)
- …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
- Scotiabank (New York, NY)
- …Planning, Operational Resiliency, OTC Remediation/ CFTC initiatives, FRTB, and Security based Swap Dealer in support of regulatory findings. **What You'll Do** ... Senior Manager , Regulatory and Business Initiatives Group **Requisition ID:** 210831 **Salary Range:** 117,400.00 - 224,700.00 _Please note that the Salary Range… more
- Citigroup (New York, NY)
- …others responsible for providing support on oversight and governance of the US broker- dealer chain legal entities. This role reports into the Chief Legal Entity ... rules, and regulations applicable to broker dealers, registered investment advisor, swap dealers and future commission merchant business activities. + Proven ability… 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 ... and Finance to deliver necessary objectives as required. - Assist Operation Manager to enhance various processes and reporting. - Define and document business… 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, ... and model risks. The Operational Risk Analyst reports to the Business Unit Risk Manager (BURM). The Operational Risk Analyst will play an integral role in monitoring… more
- NatWest Markets (Stamford, CT)
- …+ In-depth knowledge of pre-trade client onboarding processes related to US broker-dealers, swap dealer and capital markets businesses with experience across a ... and adapt management style to suit team members and work with senior manager to effectively deliver operational processes, manage risks and problem solve + Partner… more
- BP Americas, Inc. (Houston, TX)
- …required. + Understand requirements associated with an organization that is a Dodd-Frank swap dealer . **Requirements** * Bachelor's degree required. * Minimum of ... implement strategies jointly created with the Trading Lead and Marketing and Origination Manager of the region. + Support the efforts of other teams and development… more
- Cargill (Houston, TX)
- …will influence strategic and timely decisions on credit risk to support our swap dealer business, Cargill Risk Management (CRM). CRM collaborates with customers ... experience PREFERRED QUALIFICATIONS + Master's degree + Certified financial risk manager + Certified chartered financial analyst + Knowledge and familiarity with… more
- SMBC (Jersey City, NJ)
- …with offices in London and Hong Kong. SMBC CM is an established derivatives dealer with a broad product portfolio, with specific emphasis on interest rates and ... experience in Azure Cloud Development + Familiar with Azure Manager Identity + Experience on Azure Storage accounts +...+ Experience in the financial industry and/or Interest Rate Swap industry is a plus **Additional Requirements** D&I Commitment… more