- 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
- 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
- Insight Global (New York, NY)
- …In this role, you will master and maintain comprehensive knowledge of the firm's Swap Dealer compliance framework while executing end-to-end compliance ... Risk Management, or Compliance roles - Demonstrated expertise in swap dealer regulatory frameworks, including: Title VII of the Dodd-Frank Act CFTC and… 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
- HSBC (New York, NY)
- …of all significant regulatory compliance requirements applicable to the businesses + Swap Dealer and Broker Dealer compliance control testing ... investors, our communities and the planet we all share. Compliance Assurance Generalist roles act as an independent Second...processes and outcomes of First Line of Defence (1LOD) Compliance activities to provide assurance that the business is… 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 (New York, NY)
- …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 - 68 **Function:** Advisory **Area of Interest:** **State:** NY **City:** New York… 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
- Scotiabank (New York, NY)
- …designation an asset + SIE, Series 7 and Series 63 licenses. + Associated Person of swap dealer . NFA Swap Proficiency Requirement within 30 days + Strong ... and decisions. + Manage trading inventories and generate trading revenues in compliance with limits and the bank's risk profile. + Actively pursues effective… 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
- City National Bank (New York, NY)
- …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
- 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 ... significance and impact on risk and/or risk management practices. + Maintain compliance with audit methodology, while also operating within industry best practices,… 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 ... on the development and implementation of non-financial risk monitoring program ( compliance risk, operational risk, and reputation risks), in conjunction with… more
- Morgan Stanley (New York, NY)
- …Group (ISG) segment > Serve as the primary Treasury liaison with internal broker- dealer leadership teams and external regulators (SEC, FINRA, CFTC, NFA) on legal ... Liaise with groups across Corporate Treasury, Finance, Risk, Legal, Compliance and the ISG business units to support strategic...in Corporate Treasury units of banks, broker dealers, or swap dealers > A foundation in finance, accounting, or… more
- Citigroup (New York, NY)
- …matter expert and key resource. Successful candidates should have: + Knowledge of CFTC swap dealer regulations, a strong plus. + Knowledge of standards and ... partnerships and on-going engagement with cross-functional teams, including, Risk, Compliance , Operations, IT Legal, Network Management, Privacy and Data Legal… more