- Capital One (New York, NY)
- Trade Surveillance Manager (Broker- Dealer & Swap Dealer ) **About the Role** We are seeking a highly skilled Trade Surveillance Manager to lead and ... enhance the firm's surveillance program across both its institutional Broker- Dealer (BD) and Swap Dealer ...worked. New York, NY: $159,400 - $181,900 for Risk Manager Candidates hired to work in other locations will… more
- SMBC (New York, NY)
- …well organized with project management skills. + Regulatory compliance experience at a broker dealer and or swap dealer preferred. BA/BS required. JD ... is conducted and transactions are executed. **Role Objectives** The Broker Dealer Regulatory Governance Advisory Team within the CPAD Advisory Function provides… more
- SMBC (New York, NY)
- …and issue management across Combined US Operations (CUSO), the SMBC Capital Markets Swap Dealer , and Nikko Securities America's Broker- Dealer entity. This ... Risk Governance: - Support all market risk governance obligations under CFTC Swap Dealer rules, including Risk Management Program (23.600), Supervision (23.602),… more
- MUFG (Irving, TX)
- …senior management and regulatory expectations. Reviews will include assessment of the Swap Dealer program, Volcker Rule program, Market Conduct, Market Access, ... highly preferred: Dodd-Frank Act Title VII as it pertains to the obligations of Swap Dealers and Security-Based Swap Dealers, Volcker Rule and Market Conduct… more
- Scotiabank (Dallas, TX)
- …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:** 236169 **Salary Range:** 102,800.00 - 196,800.00 _Please note that the Salary Range… more
- TD Bank (New York, NY)
- …but not required. + 7-10 years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or associated ... and standardize annual reporting to regulators across broker-dealers and swap dealers and draft relevant content + Act as...have regular career, development, and performance conversations with your manager , as well as access to an online learning… more
- TD Bank (New York, NY)
- …not required + 5 or more years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or associated ... more years of experience with a registered US broker dealer or regulator. + JD desirable but not required...have regular career, development, and performance conversations with your manager , as well as access to an online learning… more
- TD Bank (New York, NY)
- …but not required. + 5-7 years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or associated ... you succeed. You'll have regular career, development, and performance conversations with your manager , as well as access to an online learning platform and a variety… more
- TD Bank (New York, NY)
- …but not required. + 7 years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or associated ... you succeed. You'll have regular career, development, and performance conversations with your manager , as well as access to an online learning platform and a variety… more
- Robert Half Finance & Accounting (Burlington, VT)
- …reports, reconcile registration schedules, and process DMV customer refunds with manager approval. + Coordinate with Office Managers to ensure required information ... sales commissions and DMV documentation. + Complete processing of swap and wholesale vehicle deals. + Post all new...audits for K-208, used titles, certificates of origin, and dealer plates. + Adhere to all policies and procedures,… more