• Compliance , Swap Dealer

    ManpowerGroup (Jersey City, NJ)
    …relevant rules. **Responsibilities** + Advise and implement enhancements to the overall Swap Dealer Compliance Program, including policies and procedures ... more
    ManpowerGroup (01/23/25)
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  • Senior Monitoring and Testing Compliance

    NatWest Markets (Stamford, CT)
    Senior Monitoring and Testing Compliance Assurance Officer - Swap Dealer Stamford,United States Permanent Full Time \#R-00244248 Our people work differently ... more
    NatWest Markets (01/04/25)
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  • Compliance Monitoring & Testing…

    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 ... more
    SMBC (02/01/25)
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  • Director, Compliance Independent Assessment…

    Citigroup (Jersey City, NJ)
    …Management (ICRM)'s Compliance Independent Assessment (CIA) Team responsible for assessing compliance with Volcker rule, Swap dealer requirements and ... more
    Citigroup (12/27/24)
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  • VP, Compliance Testing Officer - Volcker,…

    Citigroup (Jersey City, NJ)
    compliance testing reviews and regulatory issue validation activities related to **Volcker, Swap Dealer (CFTC and SBSD) testing programs and Financial Markets ... more
    Citigroup (02/15/25)
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  • Broker Dealer Advisory - VP

    NatWest Markets (Stamford, CT)
    …FINRA, SEC, CFTC, DTCC and NFA regulation. + Knowledge of broker- dealer and swap dealer compliance laws, rules and regulations. + Strong interpersonal ... more
    NatWest Markets (01/04/25)
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  • Compliance Infrastructure Advisory

    SMBC (New York, NY)
    …a team of three direct reports. + Support areas such as trade reporting, recordkeeping, and swap dealer compliance . + Ensure compliance with certain SMBC ... more
    SMBC (12/29/24)
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  • Financial Institutions Internal Auditor

    ManpowerGroup (New York, NY)
    …communication and interpersonal skills, and a strong background in auditing and regulatory compliance . **Job Title:** Swap Dealer Auditor **Location:** New ... more
    ManpowerGroup (11/20/24)
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  • Director, Regulatory Compliance Management…

    CIBC (New York, NY)
    … Officer, the Director, RCM Portfolio Management is responsible for providing support to Swap Dealer Compliance ("SDC") to ensure the Bank's regulatory ... more
    CIBC (01/23/25)
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  • Assistant General Counsel - Swap

    US Bank (New York, NY)
    …join the Capital Markets Legal Team to support the US Bank provisionally-registered swap dealer . This attorney will provide transactional and regulatory legal ... more
    US Bank (12/20/24)
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  • Regulatory Change Management

    NatWest Markets (Stamford, CT)
    …years of financial industry experience. ​ **Essential:** + Experience working within a legal or compliance function of a Swap Dealer or a broker dealer ... more
    NatWest Markets (01/04/25)
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  • Banking Internal Auditor

    ManpowerGroup (New York, NY)
    …of swap transactions. **Key Responsibilities:** + Conduct comprehensive audits of swap dealer activities to ensure compliance with regulatory ... more
    ManpowerGroup (01/25/25)
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  • Manager, Compliance Testing

    Scotiabank (New York, NY)
    …of Scotiabank's US broker- dealer (including internal inspections), banking, swap dealer , futures commission merchant, investment management activities, ... more
    Scotiabank (01/11/25)
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  • Compliance Risk Assessment

    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 ... more
    SMBC (02/13/25)
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  • Senior Lead Counsel 1/SVP - Derivatives Regulatory…

    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 ... more
    Citigroup (12/28/24)
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  • Compliance Examination Specialist

    CIBC (New York, NY)
    …regulated by the Federal Reserve offering both consumer and commercial loans. + CFTC registered swap dealer and SEC registered security-based swap dealer ... more
    CIBC (01/07/25)
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  • Corporate Compliance - Head of Quality…

    SMBC (Jersey City, NJ)
    … and/or audit-related experience with a functional understanding of US banking/or broker dealer / swap dealer laws/regulations. + 10+ years of experience and ... more
    SMBC (02/11/25)
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  • AVP - SOX Program

    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 ... more
    Mizuho Corporate Bank (11/26/24)
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  • Counsel, TD Securities (USA) LLC - Data,…

    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 ... more
    TD Bank (02/07/25)
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  • Director, US Investment Grade Credit Trading

    Scotiabank (New York, NY)
    …designation an asset + SIE, Series 7 and Series 63 licenses. + Associated Person of swap dealer . NFA Swap Proficiency Requirement within 30 days + Strong ... more
    Scotiabank (01/14/25)
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