- ManpowerGroup (Jersey City, NJ)
- …relevant rules. **Responsibilities** + Advise and implement enhancements to the overall Swap Dealer Compliance Program, including policies and procedures ... 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 ... more
- Citigroup (Jersey City, NJ)
- …Management (ICRM)'s Compliance Independent Assessment (CIA) Team responsible for assessing compliance with Volcker rule, Swap dealer requirements and ... 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 ... 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 ... 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 ... more
- Robert Half Finance & Accounting (New York, NY)
- …of treasury experience at a Broker- Dealer , Prime Brokerage, Capital Markets, or Swap Dealer firm ✔️ CPA, Certified Treasury Professional (CTP) or CFA ... more
- Scotiabank (New York, NY)
- …of Scotiabank's US broker- dealer (including internal inspections), banking, swap dealer , futures commission merchant, investment management activities, ... 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 ... 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 ... more
- CIBC (New York, NY)
- …regulated by the Federal Reserve offering both consumer and commercial loans. + CFTC registered swap dealer and SEC registered security-based swap dealer ... more
- ManpowerGroup (New York, NY)
- …**Pay Range:** $80-85/HR W2 **What's the Job?** + Conduct comprehensive audits of swap dealer activities to ensure compliance with regulatory requirements. ... more
- HSBC (New York, NY)
- …and ensuring HSBC is compliance with CFTC, CSA, and SEC Securities-based Swap Dealer regulations. + Provide leadership and guidance to develop and strengthen ... 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 ... more
- Mizuho Corporate Bank (New York, NY)
- …to add value and improve Mizuho Bank's US operations including derivative activities, broker dealer and swap dealer businesses. Based in the New York ... more
- Marex (New York, NY)
- …and applications. + Experience interacting with Regulatory Agencies helpful. + Security Based Swap Dealer experience as plus + Well versed in fixed income ... 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 ... more
- HSBC (New York, NY)
- …and Prime Finance + Requires knowledge of key US regulations impacting the US Broker Dealer and Swap Dealer . + Strong understanding of Markets business and ... more
- Tradeweb (New York, NY)
- …Veterans/Disabled/Affirmative Action Employer. https://www.dol.gov/ofccp/regs/ compliance /posters/pdf/eeopost.pdf **Group Details** Tradeweb ... 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 ... more