- Scotiabank (New York, NY)
- Compliance Testing Senior Manager, Swap Dealer and Derivatives Compliance **Requisition ID:** 220508 **Salary Range:** 117,400.00 - 224,700.00 _Please note that the ... the overall success of GBM&T Compliance Testing team and Swap Dealer and Derivatives Compliance ensuring specific individual goals,...to support compliance testing for Scotiabank's compliance of CFTC Swap Dealer, SEC Security Based Swap Dealer… more
- PNC (New York, NY)
- …the Compliance Audit team supporting Corporate & Institutional Banking, Treasury Management, Swap Dealer & Broker Dealer. This position is primarily based in a ... PNC location. Preferred locations are listed in this requisition. Responsibilities require time in the office or in the field on a regular basis. Some responsibilities may be performed remotely, at manager's discretion. Are you interested in an opportunity to… more
- The Albany Auto Group (Latham, NY)
- Description The Albany Auto Group is looking for Swap Drivers / Dealer Trade Driver. In this position, you will be driving dealer trade cars to and from other ... dealerships, inspecting vehicles for defects, filling cars with gas and delivering paperwork. This position works in a PT capacity, and as needed. Although most are done weekdays, Saturday availability is always helpful. Responsibilities *Ensure necessary… more
- ManpowerGroup (New York, NY)
- …financial services firm, is seeking an Internal Auditor to join their team. As a Swap Dealer Auditor, you will be part of the audit team supporting the swap ... and a strong background in auditing and regulatory compliance. **Job Title:** Swap Dealer Auditor **Location:** New York, New York (Remote) **Pay Range:**… more
- ManpowerGroup (New York, NY)
- …Range:** $80-85/HR W2 **What's the Job?** + Conduct comprehensive audits of swap dealer activities to ensure compliance with regulatory requirements. + Assess the ... effectiveness of internal controls related to swap transactions and recommend improvements as needed. + Stay...in the financial services industry with a focus on swap transactions. + Strong knowledge of regulatory requirements related… more
- Citigroup (Getzville, NY)
- …Title VII (CFTC/SEC), and Canada. The team is responsible for the NAM Swap /Security-based Swap Trade Reporting, along with the ongoing governance, oversight of ... testing teams, and internal audit, with respect to Citi's global swap and security-based swap dealing activities. The role combines specialty knowledge of CFTC,… more
- Robert Half Finance & Accounting (New York, NY)
- …recruiting for a US Head of Finance & Accounting role for a global Broker Dealer/ Swap Dealer firm located in midtown Manhattan. Our client requires a CPA, Series 27 ... Finance experience within Prime Brokerage, Capital Markets or a Swap Dealer firm. The role reports directly into the...Finance experience within Prime Brokerage, Capital Markets or a Swap Dealer firm + Must hold active CPA and… more
- Citigroup (Getzville, NY)
- …specializing in data-driven regulatory reporting, analysis, and quality assurance for swap dealer reporting. We ensure accurate and compliant reporting by ... data flows. + Managing data quality controls and exception management for swap dealer reports, leveraging data profiling and analysis techniques. + Contributing to… more
- CIBC (New York, NY)
- …within the company including, but not limited to, the parent bank swap dealer. **How You'll Succeed:** + Executing risk-based compliance examinations that adequately ... (SIE, FINRA Series 7, CCOS or IACCP a plus) + Working knowledge of swap dealer operations and governing Dodd-Frank/CFTC requirements + **Values matter to you.** You… more
- SMBC (New York, NY)
- …of issues across CUSO Market Risk and other risk stripes under the Swap -Dealer and Broker-Dealer legal entity CRO umbrella. - Track and manage regulatory, audit, ... and reporting approaches). - Understand regulatory requirements applicable to Swap -Dealer, Broker-Dealer, and Bank entities. **Communication and Leadership:** -… more