- 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
- PNC (Pittsburgh, PA)
- …have an opportunity to contribute to the company's success. We are looking to hire a Compliance Program Specialist for Swap Dealer Risk Governance team in ... may be performed remotely, at manager's discretion. Additional locations may be considered. Swap Dealer Risk Governance, subject to CFTC regulations. BCMC plays… more
- SMBC (Jersey City, NJ)
- …**Role Description** SMBC's Compliance Department Americas Division is seeking a VP of Swap Dealer Compliance Monitoring & Testing (M&T). The VP is ... reporting. **Qualifications and Skills** + 7+ years of swap dealer experience + Has a Compliance Testing, NFA or Internal Audit background + Able to work… 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
- 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...**Role Objectives** + Coordinate bank, broker- dealer , and swap dealer regulatory Compliance programs… 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
- HSBC (New York, NY)
- …of all significant regulatory compliance requirements applicable to the businesses + Swap Dealer and Broker Dealer compliance control testing ... processes and outcomes of First Line of Defence (1LOD) Compliance activities to provide assurance that the business is...and policies and to ensure that HSBC maintains effective compliance controls. They also perform deep-dive and thematic reviews… more
- SMBC (Jersey City, NJ)
- …regulations and experience with risk and control assessments. Familiarity with securities and swap dealer laws, rules and regulations is a plus. Additionally, a ... Description** SMBC Group is seeking a Director for the Compliance Risk Assessment team within the Compliance ...Cayman Branch; Canada Branch; Brazilian banking affiliate; US broker dealer and registered swap dealer ;… more
- Truist (Charlotte, NC)
- …Compliance Officers and Analysts. 10. Conduct electronic communication surveillance of the broker dealer and swap dealer activities as well as information ... review the following job description:** Responsible for conducting and directing compliance risk oversight of Capital Markets business units such as electronic… more
- Citigroup (Tampa, FL)
- …oversight of regulatory reporting, including exception management and risk mitigation across swap dealer reporting. The group is responsible for:_ + ... initiatives and enhancements + Control and exception management on swap dealer reports + Industry level advocacy...+ Work closely with colleagues from Operations & Technology, Compliance , Legal, Risk & Control and business unit managers… 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
- 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
- Capital One (Mclean, VA)
- …+ Providing legal guidance on derivatives matters, including: collateral operations and swap dealer + Counseling and advising the Capital Markets team ... of derivatives transactions and legal documentation, including CFTC regulations relating to swap dealers + Knowledge of broker dealer regulations, including SEC… 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
- City National Bank (Los Angeles, CA)
- …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
- Citigroup (New York, NY)
- …management and payments, trade finance, securities services, as well as Citi's broker- dealer and swap - dealer businesses. Investigations Legal provides legal ... committees, councils and working groups covering strategy, risk and compliance management, legal entity governance, regulatory interactions, investigations management,… more