- SMBC (New York, NY)
- …a team of three direct reports. + Support areas such as trade reporting, recordkeeping, and swap dealer compliance . + Ensure compliance with certain SMBC ... of Compliance Infrastructure Advisory, you will: + Coordinate bank, broker- dealer , and swap dealer regulatory Compliance programs across SMBC's… more
- ManpowerGroup (New York, NY)
- …communication and interpersonal skills, and a strong background in auditing and regulatory compliance . **Job Title:** Swap Dealer Auditor **Location:** New ... **Pay Range:** Competitive **What's the Job?** + Conduct comprehensive audits of swap dealer activities to ensure compliance with regulatory requirements. +… more
- CIBC (New York, NY)
- … Officer, the Director, RCM Portfolio Management is responsible for providing support to Swap Dealer Compliance ("SDC") to ensure the Bank's regulatory ... job aids and other communications for the RCM Program. + Support the Swap Dealer Chief Compliance Officer to design and produce RCM related reporting,… more
- Capital One (New York, NY)
- …and Swap Dealer rules and regulations. + Assist with administering the Swap Dealer Compliance program. + Actively participate on complex projects by ... The Compliance Advisor Manager will also advise on Volcker and Swap Dealer related activities. The Compliance Advisor Manager works within the … more
- US Bank (New York, NY)
- …join the Capital Markets Legal Team to support the US Bank provisionally-registered swap dealer . This attorney will provide transactional and regulatory legal ... Bank. **RESPONSIBILITIES** - Advise business units and other support partners regarding relevant swap dealer and banking laws, regulations and related risks -… 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
- TD Bank (New York, NY)
- …businesses. **Responsibilities:** + Oversee the registration requirements for four broker-dealers, the swap dealer , and the security-based swap dealer ... . + Manage registrations and licensing team primarily responsible for FINRA and swap - dealer individual and branch registrations. + Responsible for routine and ad… more
- Scotiabank (New York, NY)
- …of Scotiabank's US broker- dealer (including internal inspections), banking, swap dealer , futures commission merchant, investment management activities, ... institutional trading & sales, investment banking, futures commission merchant, swap dealer activities, commercial banking, investment management, and… 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 ... global team that supports Citi business lines, legal entity management teams, Compliance , and Regulatory Engagement teams. The group provides technical legal advice… more
- Mizuho Corporate Bank (New York, NY)
- …The ideal candidate will possess experience in Financial Services (Banking, and Broker Dealer / Swap Dealer Businesses), and have an understanding of Audit ... to Head Office. This function is essential for maintaining compliance with the Sarbanes Oxley Act. Team members are...+ Financial Services industry audit background preferred (Banking, Broker Dealer or Swap Dealer ). +… 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
- Tradeweb (New York, NY)
- …Veterans/Disabled/Affirmative Action Employer. https://www.dol.gov/ofccp/regs/ compliance /posters/pdf/eeopost.pdf **Group Details** Tradeweb ... US regulated entities, which presently consists of four broker dealers and two swap execution facilities (SEFs). This position reports directly to the Head of… 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)
- …managing assignments in a demanding, fast-paced environment + Knowledge of US, UK, and EU swap dealer regulations + Bar license in good standing to practice law ... partnerships and on-going engagement with cross-functional teams, including, Risk, Compliance , Operations, IT Legal, Network Management, Privacy and Data Legal… more
- BlackRock (New York, NY)
- …with other BlackRock stakeholders (eg, EMIR 3.0, UST / repo clearing, dealer definition) + Provide input into our electronic trading strategy to evaluate ... ongoing oversight and support to trading teams for cleared swap workflows and intraday credit limits + Mentor /...as, but not limited to, Trading, Operations, Legal & Compliance , etc. + Deep knowledge and understanding of buy-side… more