- 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
- Citigroup (New York, NY)
- … Officers. **Responsibilities:** + Designing, developing, delivering and maintaining best-in-class Swap Dealer Compliance , programs, policies and practices ... on compliance risk management activities for Citi's swap dealer entities with a focus on...relation to compliance with CFTC and SEC Swap Dealer regulations; supporting swap … more
- SMBC (New York, NY)
- …Well organized with project management skills. + At least 7-10 years of Swap Dealer Compliance experience. Additional relevant professional experiences, ... Director will be primarily focused on providing oversight and Compliance advisory support with respect to swap ...and Compliance advisory support with respect to swap transaction reporting activities. This will include acting as… more
- ManpowerGroup (New York, NY)
- …and Testing program, and will have coverage over the banks Swap Dealer Operations. **Job Title: Vice President, Compliance Monitoring & Testing (Swaps)** ... of the applicable rules and regulations. **What's Needed?** + 7+ years of swap dealer experience + Compliance Testing, NFA, or Internal Audit background +… 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
- TEKsystems (Jersey City, NJ)
- …1 day onsite in Jersey City, NJ!! MUST HAVES: - 5+ years of experience within swap dealer compliance . - Experience conducting compliance reviews. - ... - NFA and CFTC rules and regulations. Description: - Conduct compliance reviews of swap dealer operations to ensure adherence to regulatory requirements… more
- Bank of America (New York, NY)
- …Chief Compliance Officers (CCO) in administering their duties to oversee the Company's swap and SBS dealer compliance and operational risk program; * ... Swap (SBS) Enterprise Area of Coverage (EAC) Global Compliance & Operational Risk (GCOR) Officer is a subject...and Exchange Commission (SEC), and National Futures Association (NFA) swap and SBS dealer requirements. The EAC… 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 ... that supports Citi business lines, legal entity management teams, Compliance , and Regulatory Engagement teams. The group provides technical...requirements for swap dealers and security based swap dealers; + advising on US broker dealer… 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 this role will be on the US broker dealer and US swap 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:** Advisory **Area of Interest:** **State:** NY **City:** New York… more
- Scotiabank (New York, NY)
- …banking organization with institutional trading & sales, investment banking, institutional broker dealer or FCM/ swap dealer businesses. + Experience leading ... Senior Manager, US Compliance Risk Assessment **Requisition ID:** 207309 **Salary Range:**...assessments processes. + Familiarity with US bank and broker dealer laws, rules, and regulations applicable to non-US banks… more
- Marex (New York, NY)
- …Supervisory Procedures) for all regulated US entities including two broker dealers, swap dealer , and FCM. + Work with Compliance advisory teams (FCM, Broker ... Dealer , Solutions, Central Compliance ) to ensure that policies and procedures are maintained. + Maintain a horizon scanning log for all US regulators. + Maintain… more
- Wells Fargo (New York, NY)
- …and Sales Fixed Income experience on the buy or sell side + Experience with Broker dealer and / or swap dealer housed businesses + Experience with Global ... / International focused projects / responsibilities + Experience with Broker dealer and / or swap dealer regulations as it relates to FX and Rates… more
- TD Bank (New York, NY)
- …degree, required. + 7 or more years of experience in, with a registered US broker dealer or regulator, Compliance testing a plus. + JD desirable but not required ... **Work Location** : United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $160,000 - $187,000 USD TD is committed to providing fair… more
- CIBC (New York, NY)
- …OCC and Options Exchange rule requirements; + Understanding of SEC and CFTC Dodd-Frank Swap Dealer a plus; + Strong understanding of US regulatory landscape. + ... please visit CIBC.com (https://www.cibc.com/en/about-cibc.html) The Senior US Equity Derivatives Compliance Officer is responsible for: 1) administering CIBC's policies… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $180,000 - $230,000 USD TD is committed to providing fair ... more specific details for this role **Job Description:** The Director Compliance TDS oversees/leads a team(s) of specialists/professionals providing advice, guidance… more
- CIBC (New York, NY)
- …securities and OTC derivative/ swap Equity (and preferably Equity Derivatives) compliance issues gained at an investment dealer , regulator or marketplace ... do occur. Regulatory Supervision is a business role (not Compliance ) and is delegated the responsibility to supervise on...of various regulatory reporting obligations, including: CAT, TRACE, LOPR, Swap Dealer Trade Reporting + Manage the… 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
- Wells Fargo (New York, NY)
- …team include: Operational support of Markets business (including Prime Brokerage, FCM, FX, Swap Dealer , and Broker Dealers in US and EMEA) across documentation, ... by other team members + Partner with vendors, Broker Dealer Operations, Middle Offices, and other stakeholders to ensure...operational excellence + Work closely with Corporate Tax and Compliance to analyze complex matters and implement solutions +… more
- SMBC (New York, NY)
- …of the Dodd Frank Act, CFTC Rule 23.600, the Volcker Rule, and Swap Dealer registration requirements. Communication and Leadership 1. Excellent communication ... and Hong Kong. SMBC CM is an established derivatives dealer with a broad product portfolio, with specific emphasis...across CUSO under FRB regulations. 2. Monitors the firms compliance with the Volcker Rule and produces monthly analysis.… more