- 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
- 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. +… 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
- 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; * ... to gain competitive advantage. **Skills:** + Active Listening + Advisory + Decision Making + Regulatory Compliance ...and Exchange Commission (SEC), and National Futures Association (NFA) swap and SBS dealer requirements. The EAC… more
- CIBC (New York, NY)
- …monitoring program for its Equity and Equity Derivatives business; + Providing ongoing Compliance advisory services to the US Capital Markets business, which ... maintenance of the existing regulatory program; + Providing ongoing Compliance advisory services to sales and trading...rule requirements; + Understanding of SEC and CFTC Dodd-Frank Swap Dealer a plus; + Strong understanding… more