- 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
- NatWest Markets (Stamford, CT)
- Senior Monitoring and Testing Compliance Assurance Officer - Swap Dealer Stamford,United States Permanent Full Time \#R-00244248 Share: ... (https://jobs.natwestgroup.com/jobs/15076523-senior-monitoring-and-testing- compliance -assurance-officer- swap - dealer /apply?tm\_src=0) Our people work differently depending on… 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
- 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
- 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
- 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)
- …+ Understanding of regulatory compliance requirements applicable to the businesses + Swap Dealer and/or Broker Dealer compliance control testing ... the planet we all share. _The AVP Risk And Compliance Assurance act as an independent Second Line of...processes and outcomes of First Line of Defence (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
- 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 ... that supports Citi business lines, legal entity management teams, Compliance , and Regulatory Engagement teams. The group provides technical...requirements for swap dealers and security based swap dealers; + advising on US broker dealer… more
- SMBC (Jersey City, NJ)
- …of this function will encompass SMBC Group's Americas Division, inclusive of US broker dealer and registered swap dealer ; SMBC Group's wholesale and retail ... SMBC Group is seeking a Vice President for the Compliance Risk Assessment team ("CRA team") within the ...of this role will be on the US broker dealer and US swap dealer .… more
- KPMG (Mclean, VA)
- …management function, capital markets organization (Asset Management Firm/Investment Adviser, Broker Dealer , Wealth Management Firm, Swap Dealer , ... **Business Title:** Director, Markets Compliance **Requisition Number:** 118215 - 97 **Function:** Advisory **Area of Interest:** **State:** VA **City:** McLean… more
- PNC (Pittsburgh, PA)
- … dealer products (eg, fixed income securities). * Has knowledge of NFA/CFTC swap dealer requirements and/or FINRA/SEC broker dealer requirements. **Job ... opportunity to contribute to the company's success. As a Compliance Program Specialist Senior, you will be within PNC's...week. In addition to the job description below, the Compliance Program Specialist Senior will also be responsible for… more
- JPMorgan Chase (Jersey City, NJ)
- …Securities Dealer , Futures Commission Merchant, Commodity Pool Operator, and registered as a swap dealer and Security-Based Swap Dealer . JPMS LLC ... JPMorgan Securities LLC (JPMS LLC) is a licensed broker- dealer and investment adviser registered with the SEC and FINRA. It is also a Municipal… 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
- BP Americas, Inc. (Houston, TX)
- …instruments, exposures, valuations, strategies and vernacular) + Experience with Dodd-Frank Swap Dealer regulations + Excellent presentation, oral and written ... Strategy, Sustainability & Ventures **Job Family Group:** Ethics & Compliance Group **Job Description:** Our purpose is to bring...to grow as the world's leading energy company! The Compliance Manager is a key member of the Ethics… more
- Truist (Atlanta, GA)
- …ensuring compliance with regulatory rules (Market Risk Rule, FRTB, Volcker Rule, Swap Dealer Rule Initial Margin, SCCL, etc.) and guidelines pertaining to ... programs for capital markets related regulations (Market Risk Rule, FRTB, Volcker Rule, Swap Dealer Rule, etc.). 11. Self-starter, capable of operating with… more
- Truist (Atlanta, GA)
- …the compliance of regulatory rules (Market Risk Rule, FRTB, Volcker Rule, Swap Dealer Rule Initial Margin, SCCL, etc.) and guidelines pertaining to market, ... programs for capital markets related regulations (Market Risk Rule, FRTB, Volcker Rule, Swap Dealer Rule, etc.). 9. Self-starter, capable of operating with… more
- US Bank (Chicago, IL)
- …stakeholders to implement and maintain the operational solutions necessary to support the Swap Dealer rates and commodity business. The Business Analyst will ... teams across Derivative Trading Front Office, Technology & Operations Services, Compliance , Legal, Market Risk Management, Treasury, and Finance to deliver necessary… more
- Citigroup (Washington, DC)
- …capital markets regulatory policy. The preferred candidate will have worked at a broker/ dealer , swap dealer , capital markets regulator, law firm, consulting ... across its businesses, functions, and geographies - including Risk, Finance, Legal, Compliance , Global Government Affairs and Citi's business units - to formulate… more