- Scotiabank (New York, NY)
- Senior Manager , Swap Dealer and Derivatives Compliance **Requisition ID:** 230322 **Salary Range:** 117,400.00 - 224,700.00 _Please note that the Salary Range ... regulators, particularly the US Securities and Exchange Commission ("SEC"), US Commodity Futures Trading Commission ("CFTC"), and National Futures Association… more
- MUFG (New York, NY)
- …financial risks, and the ability to liaise across multiple functions including trading , risk, finance, compliance , and operations. **Key Responsibilities:** * ... Support the primary business management partners to the trading desk leads across Rates, Credit, Securities Financing, Structured...of 1934 or Section 8a(2) or 8a(3) of the Commodity Exchange Act, and (b) they do not conflict… more
- TD Bank (New York, NY)
- …for trading products such as derivatives, foreign exchange and commodity products, ie ISDA Master Agreements, physical commodity agreements, and ... Bank is adequately protected from legal, credit, business, and compliance risk in all of its trading ...have regular career, development, and performance conversations with your manager , as well as access to an online learning… more
- Robert Half Finance & Accounting (New York, NY)
- …Services are currently recruiting for Metals Market Risk Analyst role for a Global Commodity Trading firm based in midtown Manhattan New York. Our client ... 3+ years Market Risk experience within a Bank or Commodity Trading firm, with strong knowledge of...approved risk limits, and escalate findings to Risk Management Manager and Division Manager as necessary. *… more
- S&P Global (New York, NY)
- …of interest by monitoring and placing restrictions on personal securities holding and trading . The Policy is designed to promote compliance with global ... ensuring that we consistently meet the highest standards of performance and compliance . **The Role** Reporting to the Head of In-Business Control Ratings Services,… more
- SMBC (New York, NY)
- …to its employees. **Role Description** SMBC Capital Markets, Inc. (CM) is a derivatives trading company since 1988 based in New York City, with offices in London and ... as interest & FX swaps, FRAs, options, exotic products, commodity derivatives as well as exchange traded products such...CCR function and build a comprehensive CCR framework in compliance with SR 11-10 and BCBS CCR guidelines. The… more
- S&P Global (New York, NY)
- …of interest by monitoring and placing restrictions on personal securities holding and trading . The Policy is designed to promote compliance with global ... for rating committees. + Review legal and operating documents to ensure compliance with criteria and identify issues with the transaction structure. Provide feedback… more
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