- 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 (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
- 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
- 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
- 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
- HSBC (New York, NY)
- …of all significant regulatory compliance requirements applicable to the businesses + Swap Dealer and Broker Dealer compliance control testing ... investors, our communities and the planet we all share. Compliance Assurance Generalist roles act as an independent Second...processes and outcomes of First Line of Defense (1LOD) Compliance activities to provide assurance that the business is… 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
- 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
- TD Bank (New York, NY)
- …new initiatives in commodities, derivatives and other products, primarily fixed income + Advising on swap dealer , security-based swap dealer and broker ... needed. + Collaborate with other control functions such as Compliance and Operational Risk to provide coordinated advice to...and provide advice relating to new regulations and regulatory compliance **Who We Are** TD Securities offers a wide… 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
- City National Bank (New York, NY)
- …CNB Capital Markets activity is conducted under bank permissible activities, not under registered swap dealer or broker dealer activity. This role is ... findings and perform root cause analysis, distinguishing between various levels of compliance and other types of risk. * Prepare and support corrective action… more
- Mizuho Corporate Bank (New York, NY)
- …across the Mizuho Americas fixed income trading and sales unit + Supporting Mizuho US swap dealer and broker dealer business lines including swaps, foreign ... other teams across Mizuho, including Sales and Trading, Credit, Operations, and Compliance . + Hybrid working model Qualification: + Law degree from an accredited… 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 ... significance and impact on risk and/or risk management practices. + Maintain compliance with audit methodology, while also operating within industry best practices,… more
- SMBC (New York, NY)
- …subsidiary of SMBC. SMBC Capital Markets, Inc. was provisionally registered as a swap dealer with the Commodity Futures Trading Commission on December 31, ... maintains its own middle and back-office functions, including Risk Management, Compliance , Systems, Finance, and Operations. SMBC Capital Markets, Inc Front Office… more
- Citigroup (New York, NY)
- …managing assignments in a demanding, fast-paced environment + Knowledge of US, UK, and EU swap dealer regulations + Bar license in good standing to practice law ... partnerships and on-going engagement with cross-functional teams, including, Risk, Compliance , Operations, IT Legal, Network Management, Privacy and Data Legal… more