- 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
- NatWest Markets (Stamford, CT)
- Senior Monitoring and Testing Compliance Assurance Officer - Swap Dealer Stamford,United States Permanent Full Time \#R-00244248 Our people work differently ... IT technologiesutilizedin theswap- dealer business. + Strong knowledge ofswap dealer regulations, andsecurities products and compliance including knowledge of… 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
- NatWest Markets (Stamford, CT)
- …to swap dealer + Recommend and assistinimplementingchanges to the swap dealer compliance program, relevantpoliciesand procedures on an ongoing basis. ... industry experience. Essential: + Experience working within a legal or compliance function of a Swap Dealer on Dodd-Frank (Title VII) rules and regulations… more
- NatWest Markets (Stamford, CT)
- …FINRA, SEC, CFTC, DTCC and NFA regulation. + Knowledge of broker- dealer and swap dealer compliance laws, rules and regulations. + Strong interpersonal ... Sales and Trading business including the US Rates, Repo, Swap Dealer , and Credit Sales & Trading...experience with broker- dealer and swap dealer rules and regulations and providing compliance … more
- NatWest Markets (Stamford, CT)
- …this role is responsible for assessing compliance risks and controls within the Swap Dealer testing program. The candidate will be part of an effective ... Swap Dealer Testing VP Closing date... Swap Dealer Testing VP Closing date for applications: 06/02/2025... business. + Good knowledge of swap dealer regulations, and securities products and compliance … more
- 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
- NatWest Markets (Stamford, CT)
- …This role is responsible for assessing compliance risks and controls within the Swap Dealer testing program. The candidate will be part of team operating an ... in the swap - dealer business. + Good knowledge of swap dealer regulations, and securities products and compliance including knowledge of CFTC,… more
- NatWest Markets (Stamford, CT)
- …years of financial industry experience. **Essential:** + Experience working within a legal or compliance function of a Swap Dealer or a broker dealer ... and global regulatory and industry trends relevant to derivatives (specifically CFTC/NFA swap dealer rules and regulations) and SEC/FINRA rules governing… more
- Capco, a Wipro Company (New York, NY)
- …programmes. **What You'll Get to Do:** + Specialize in implementations to adhere to global Swap Dealer Compliance related rules and regulations + Advise and ... all areas of the front office, operations, technology, risk, finance and compliance . Our clients include the largest investment banks, global universal banks and… 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
- SMBC (Jersey City, NJ)
- … compliance and/or audit-related experience with a solid understanding of US banking, broker- dealer , or swap dealer laws/regulations. A minimum of 3+ ... for ensuring that the Monitoring and Testing (M&T) and Compliance Risk Assessment teams execute their activities in alignment...of applicable laws and regulations (eg, banking, securities, and swap dealer ) for quality assurance reviews in… 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