- ManpowerGroup (Jersey City, NJ)
- …relevant rules. **Responsibilities** + Advise and implement enhancements to the overall Swap Dealer Compliance Program, including policies and procedures ... more
- 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
- 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
- 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 (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
- 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
- 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
- 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
- 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
- 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
- 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
- ManpowerGroup (New York, NY)
- …of swap transactions. **Key Responsibilities:** + Conduct comprehensive audits of swap dealer activities to ensure compliance with regulatory ... more
- Scotiabank (New York, NY)
- …of Scotiabank's US broker- dealer (including internal inspections), banking, swap dealer , futures commission merchant, investment management activities, ... 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 ... 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 ... more
- 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
- 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
- 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
- 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
- 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