- 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
- 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
- Scotiabank (New York, NY)
- …individual goals, plans, and initiatives are executed and delivered in support of the Swap Dealer Compliance team's business strategies and objectives. This ... Senior Manager, Swap Dealer and Derivatives Compliance **Requisition ID:** 230322 **Salary Range:** 117,400.00 - 224,700.00 _Please note that the Salary… 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
- Shell (Houston, TX)
- …of risk management principles and product structures + Experience with regulatory compliance in swap dealer environment + Excellent relationship ... client needs + Navigate cross-functional approval processes working with legal, credit, compliance , contracts teams and any other internal stakeholders + Adhering to… more
- NatWest Markets (Stamford, CT)
- …**This role is responsible for assessing compliance risks and controls within the Swap Dealer testing program. We are seeking an experienced compliance ... Regulatory Compliance Testing Associate LocationStamford,United States Job typePermanent Contract...professional to join a global financial institution to conduct Compliance Testing. You will conduct compliance reviews… more
- SMBC (New York, NY)
- …Back office processes specific to derivatives, fixed income and FX * Prior banking, Swap Dealer related compliance and risk management requirements & best ... Unit interaction with 2nd Line of defense functions including Risk Management and Compliance . * Leads and provides expert guidance on assessment of processes and… more
- Scotiabank (New York, NY)
- …of Scotiabank's US broker- dealer (including internal inspections), banking, swap dealer , futures commission merchant, investment management activities, ... institutional trading & sales, investment banking, futures commission merchant, swap dealer activities, commercial banking, investment management, and… more
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