- NatWest Markets (Stamford, CT)
- Broker Dealer Testing Associate Closing date for applications: 06/02/2025 Stamford,United States Permanent Full Time \#R-00249216 Our people work ... proper operations of the department and the business._ **Swap Dealer Testing Associate 2LOD** This...of CFTC, DTCC, NFA regulation. + Some knowledge of broker - dealer and securities processes and business. +… more
- Capital One (Mclean, VA)
- …years of experience testing or monitoring in a compliance department for an institutional broker dealer , or at least 2 years of experience as a swap ... all applicable lines of business specifically within the Swap Dealer Commercial Compliance Testing team. The Compliance...compliance advisor in a compliance department for an institutional broker dealer or swap dealer … more
- KeyBank (Brooklyn, OH)
- …industry. + Strong understanding of various regulatory requirements related to the retail broker dealer industry, as well as retail insurance industry + Working ... and other support and administrative groups to identify and mitigate retail broker / dealer , securities, AML, Fraud and insurance related compliance and… more
- MUFG (New York, NY)
- …Sales and Trading, Interest Rate Derivatives, equities, credit, securitized products) and Swap Dealer / Broker Dealer regulation are highly desirable, ... member of our recruitment team will provide more details. **Position Summary** The Associate supports the Business Unit Risk Management (BURM) team in the "first… more
- CIBC (Madison, IL)
- …+ 3 to 5 years of experience in a compliance position at a registered RIA, broker dealer or bank. + A strong understanding of the Investment Advisors Act of ... Business Conduct, Company Policies, Compliance Programs, Compliance Reporting, Compliance Testing , Decision Making, Regulatory Compliance, Risk Assessments, Strategic Advice… more
- SMBC (New York, NY)
- …The role's coverage of business lines includes traditional banking (including digital bank), swap dealer and broker dealer . Product coverage includes but is ... Risk Management Department Americas Division (RMDAD) has an opening for an Associate /Vice President in the Liquidity Risk Management Group. This position resides… more
- T. Rowe Price (Owings Mills, MD)
- …in one or many of our North America Compliance teams, including, Broker - Dealer Compliance, Fraud and Financial Crimes, Global Communications Compliance, ... as needed. + Assisting compliance team members in conducting testing of policies and procedures for an assigned business...inclusive programming aim to lift the experience for each associate and builds allies for our global associate… more