- Fifth Third Bank, NA (Cincinnati, OH)
- …swap dealing and applicable derivatives trading. DUTIES & RESPONSIBILITIES: + Assist the Swap Dealer Compliance Director in developing and overseeing the ... the development and delivery regulatory employee training programs + Asset the Swap Dealer Compliance Director with regulatory inquiries and examinations +… more
- Scotiabank (New York, NY)
- …retains, develops, and motivates their team by fostering an inclusive work environment. + Work with Swap Dealer Compliance Advisory Team to perform Swap ... Compliance Testing Senior Manager, Swap Dealer and Derivatives Compliance **Requisition ID:** 220508 **Salary Range:** 117,400.00 - 224,700.00 _Please… more
- CIBC (New York, NY)
- …about CIBC, please visit CIBC.com (https://www.cibc.com/en/about-cibc.html) **What You'll Be Doing:** The Swap Dealer Compliance Officer is responsible for ... performing important advisory, training, surveillance and analytical functions to support CIBC's Swap Dealer Compliance program. The Swap Dealer … more
- Citigroup (Jersey City, NJ)
- …performing independent testing activities (testing and monitoring) within the global Volcker, Swap Dealer , Counterparty Trading & Risk CIA program to assess ... Serves as a senior compliance risk officer for Independent Compliance ...testing reviews and issue validation activities for the Volcker, Swap Dealer , Counterparty Trading & Risk CIA… more
- PNC (Chicago, IL)
- …the Compliance Audit team supporting Corporate & Institutional Banking, Treasury Management, Swap Dealer & Broker Dealer . This position is primarily ... efficiently to get things done **Job Description** + Manages financial, compliance , and/or operational audit reviews, including the evaluation of design and… 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
- Huntington National Bank (Columbus, OH)
- …to obtain within 6 months of hire. Preferred Qualifications: + Experience or exposure to Swap Dealer Compliance programs. + Ability to work in a fast-paced ... Advisors (HFA), Huntington Securities Incorporated (HSI), and Capstone Partners broker- dealer compliance program functions including implementation of written… more
- Wells Fargo (Charlotte, NC)
- …Qualifications:** + Experience with Institutional Interest Rates Compliance , including Primary Dealer activities, CFTC Swap Dealer and Foreign Exchange ... **About this role:** Wells Fargo is seeking a Lead Compliance Officer to join the CIB Macro Business Aligned...Exchange Lines of Business as well as the CFTC Swap Dealer within the Markets Division. This… more
- Capital One (Mclean, VA)
- …will possess a risk mindset and has experience in Capital Markets Operations, Swap Dealer Requirements, Compliance or Audit. **Responsibilities** + Manage ... initial margin threshold with each counterparty to ensure we establish swap documentation timely + Identifies margin discrepancies, manages valuation dispute process… more
- Cargill (Houston, TX)
- …swaps and futures trading, and compliance with commodity trading advisor and swap dealer regulations. * Draft and review policies, guidance, and business ... us and reach your higher purpose at Cargill. **Job Purpose and Impact** The Compliance Senior Analyst, Derivatives and Commodities will play a key role in managing… more
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