- Citigroup (New York, NY)
- The Swap Dealer Compliance Senior Vice President will serve as a key contributor on the team responsible for coordinating Citi's global Swap Dealer and ... Management (ICRM) program. The individual will serve as a senior swap dealer compliance risk officer for (ICRM) responsible for establishing internal strategies,… more
- JPMorgan Chase (New York, NY)
- …the tax-exempt and taxable capital markets. As a Public Finance Attorney - Vice President , Assistant General Counsel within JPMorgan's legal department, you will ... private placements and direct purchases, such as bond purchase agreements, dealer manager agreements and private placement engagement letters. + Provide guidance… more
- NatWest Markets (Stamford, CT)
- US Operations Oversight & Advisory, Vice President Stamford,United States Permanent Full Time \#R-00252575 Our people work differently depending on their jobs ... / flow. + Direct understanding of US regulatory requirements specific to Broker Dealer Operations. + Individual must be self-motivated who is willing to attend… more
- NatWest Markets (Stamford, CT)
- US Client Services and Onboarding, Vice President Stamford,United States Permanent Full Time \#R-00240566 Our people work differently depending on their jobs and ... knowledge of pre-trade client onboarding processes related to US broker-dealers, swap dealer and capital markets businesses with experience across a wide range of… more
- MUFG (New York, NY)
- …with demonstrated familiarity including Sales and Trading; and familiarity with Broker - Dealer and applicable regulations, such as DFA Swap Dealer , Volcker and ... requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the… more
- TD Bank (New York, NY)
- …+ 6 or more years of experience with a registered US broker dealer or regulator. + Knowledge of wholesale banking products and services, operations, regulatory ... without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran. Federal law… more
- TD Bank (New York, NY)
- …+ 6 or more years of experience with a registered US broker dealer or regulator. + Knowledge of wholesale banking products and services, operations, regulatory ... without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran. Federal law… more
- TD Bank (New York, NY)
- …TDS Treasury is part of Global Markets in TD Securities, and manages the dealer 's liquidity, funding and non-trading market risk. Within the group, US TDS Treasury ... without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran. Federal law… more
- Publicis Groupe (New York, NY)
- …industry, particularly as it relates to connecting disparate data sources across brand, dealer , and service offerings. + This role reports to the Chief Data and ... identity, gender expression, pregnancy, childbirth and related medical conditions, national origin, ancestry, citizenship status, age, disability, medical condition… more
- BMO Financial Group (New York, NY)
- …reviews, Deal reports, risk assessments and attestations. **KEY ACCOUNTABILITIES** The Vice President , Investment Banking CMS will have responsibility for ... mitigate risk and support compliant revenue generating activities. The Vice President will act as a liaison...in a Compliance or Regulatory function covering a major Broker- Dealer . + 5-7 years of relevant experience in the… more