- SMBC (New York, NY)
- …Well organized with project management skills. + At least 7-10 years of Swap Dealer Compliance experience. Additional relevant professional experiences, ... primarily focused on providing oversight and Compliance advisory support with respect to swap transaction...Compliance advisory support with respect to swap transaction reporting activities. This will include acting as… more
- NatWest Markets (Stamford, CT)
- Swap Dealer Advisory , VP... dealer + Recommend and assistinimplementingchanges to the swap dealer compliance program, relevantpoliciesand ... and implementation of changes to the swap dealer and policies and procedures. + Advisory ...experience. Essential: + Experience working within a legal or compliance function of a Swap Dealer… 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...Division for all support functions. + Oversee and provide compliance advisory coverage and guidance to all… 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 ... The Regulatory Advisory and Transformation legal group is a global...requirements for swap dealers and security based swap dealers; + advising on US broker 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:** ... Compliance **Requisition Number:** 118215 - 68 **Function:** Advisory **Area of Interest:** **State:** NY **City:** New York… 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 ... of this role will be on the US broker dealer and US swap dealer ....of a CRA team. + Experience working in a Compliance Advisory role covering banking products/services (lending,… more
- Scotiabank (New York, NY)
- … recommendations. + Maintain strong relationships with key stakeholders, including Compliance Advisory , Internal Audit, Enterprise Compliance , and ... Senior Manager, US Compliance Risk Assessment **Requisition ID:** 207309 **Salary Range:**...with institutional trading & sales, investment banking, institutional broker dealer or FCM/ swap dealer businesses.… more
- Morgan Stanley (New York, NY)
- Team Profile: Corporate Treasury provides corporate finance advisory service to senior management and internal business units. It also optimizes the Firm's liquidity ... Group (ISG) segment > Serve as the primary Treasury liaison with internal broker- dealer leadership teams and external regulators (SEC, FINRA, CFTC, NFA) on legal… more