- 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 ... to the overall success of GBM&T Compliance Testing team and Swap Dealer and Derivatives Compliance ensuring specific individual goals, plans, initiatives are… more
- 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 ... plans, and initiatives are executed and delivered in support of the Swap Dealer Compliance team's business strategies and objectives. This individual must ensure… more
- PNC (Houston, TX)
- …contribute to the company's success. As Compliance Program Specialist Senior within the Swap Dealer Compliance team, you will join PNC's Independent Risk ... at manager 's discretion. As a Compliance Program Specialist Senior within the Swap Dealer Compliance team, you will monitor and test activity related to… more
- PNC (Chicago, IL)
- …supporting the Compliance Audit team supporting Corporate & Institutional Banking, Treasury Management, Swap Dealer & Broker Dealer . This position is ... the field on a regular basis. Some responsibilities may be performed remotely, at manager 's discretion. Are you interested in an opportunity to join a dynamic and… more
- Scotiabank (New York, NY)
- …of Scotiabank's US broker- dealer (including internal inspections), banking, swap dealer , futures commission merchant, investment management activities, ... Manager , Compliance Testing **Requisition ID:** 223397 **Salary Range:**...institutional trading & sales, investment banking, futures commission merchant, swap dealer activities, commercial banking, investment management,… more
- JPMorgan Chase (Plano, TX)
- …Securities Dealer , Futures Commission Merchant, Commodity Pool Operator, and registered as a swap dealer and Security-Based Swap Dealer . JPMS LLC ... JPMorgan Securities LLC (JPMS LLC) is a licensed broker- dealer and investment adviser registered with the SEC...shaping our control environment. As a Legal Entity Control Manager , you'll have the opportunity to collaborate with senior… more
- PNC (Pittsburgh, PA)
- …and Settlements. * Broad knowledge and understanding of Capital Markets including Broker Dealer , Swap Dealer , and Foreign Exchange. * Broad knowledge ... opportunity to contribute to the company's success. As a Business Analytics Manager Senior - Foreign Exchange within PNC's Investment Operations organization, you… more
- Bank of America (Jersey City, NJ)
- …The Regulatory Reporting Controller II role is within the GRR Broker Dealer organization responsible for the preparation of Regulatory Reporting calculations (SEC ... Rule 15c3-3) for locally regulated entities including broker dealers, swap dealers and other legalentities. Responsiblefor performing and documenting control… more
- JPMorgan Chase (Plano, TX)
- …management framework and governance to address regulatory obligations associated with Swap Dealer and/or Futures Commission Merchant legal entities, Commercial ... **Risk Management - Control Manager - Vice President** As part of Risk Management and Compliance, you are at the center of keeping JPMorgan Chase strong and… more
- TD Bank (New York, NY)
- …and regulatory or business conduct matters requiring escalation + Administering Global Markets Swap Dealer and Volcker Business Compliance Programs; and Codes of ... position supports the trading/sales managers and business heads at the Dealer , providing them with business management support, management information, desk-based… more
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