- 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 ... testing reviews. This role will have coverage for SMBC's Swap Dealer operations. The candidate should have...Serves as the examiner-in-charge responsible for all facets of compliance M&T engagements. + Assists in the development and… more
- Citigroup (New York, NY)
- The Swap Dealer Compliance Senior Vice President will serve as a key contributor on the team responsible for coordinating Citi's global Swap Dealer ... Risk Management (ICRM) program. The individual will serve as a senior swap dealer compliance risk officer for (ICRM) responsible for establishing internal… 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
- Citigroup (Jersey City, NJ)
- …compliance testing reviews and regulatory issue validation activities related to **Volcker, Swap Dealer (CFTC and SBSD) testing programs and Financial Markets ... Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)'s Testing team responsible for assessing compliance risks and controls… 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
- 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
- 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 ... Description A leading global Broker- Dealer & Capital Markets firm is seeking a...Management - Oversee capital strategy, liquidity resources, and regulatory compliance Clearing & Fixed Income Operations - Work with… 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
- 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 either US banking regulations (FRB, FDIC, CFPB) or securities/ swap dealer regulations (SEC, CFTC, FINRA, NFA)… 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
- 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. ... you will be part of the auditing department supporting compliance and regulatory teams. The ideal candidate will have...+ Assess the effectiveness of internal controls related to swap transactions and recommend improvements as needed. + Stay… 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 ... + Demonstrates an excellent understanding of CFTC, CSA and SEC Securities-based Swap Dealer trade reporting requirements in the financial market + Detailed… 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
- 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 ... a candidate to fill an Assistant Vice President role for the Compliance area. The candidate should demonstrate professionalism and relationship management skills… 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 ... Purpose of Role: The Senior Regulatory Accountant is responsible for ensuring compliance with the regulatory capital and customer protection rules as related to… 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
- 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 ... issues as necessary - There must be a clear understanding of the broker- dealer and e-trading technical and regulatory environment and experience in applying a… 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