- 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
- 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
- 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 (Jersey City, NJ)
- …of this function will encompass SMBC Group's Americas Division, inclusive of US broker dealer and registered swap dealer ; SMBC Group's wholesale and retail ... to drive monitoring and testing activities and to prioritize Compliance and other resources as new emergent risks are...of either US banking regulations (FRB, FDIC, CFPB) or securities/ swap dealer regulations (SEC, CFTC, FINRA, NFA)… more
- ManpowerGroup (New York, NY)
- …**Pay Range:** $80-85/HR W2 **What's the Job?** + Conduct comprehensive audits of swap dealer activities to ensure compliance with regulatory requirements. ... you will be part of the auditing department supporting compliance and regulatory teams. The ideal candidate will have...+ Assess the effectiveness of internal controls related to swap transactions and recommend improvements as needed. + Stay… 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...the opportunity to collaborate with senior stakeholders and drive compliance initiatives that impact our business worldwide. As a… more
- Citigroup (Getzville, NY)
- …oversight of regulatory reporting, including exception management and risk mitigation across swap dealer reporting. The group is responsible for:_ + ... initiatives and enhancements + Control and exception management on swap dealer reports + Industry level advocacy...+ Work closely with colleagues from Operations & Technology, Compliance , Legal, Risk & Control and business unit managers… more