- 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 ... the overall success of GBM&T Compliance Testing team and Swap Dealer and Derivatives Compliance ensuring specific...and exception items noted during the review process to senior management. + Ensure that the stakeholders respond with… more
- PNC (Pittsburgh, PA)
- …an opportunity to contribute to the company's success. As a Business Analytics Manager Senior - Foreign Exchange within PNC's Investment Operations organization, ... Broad knowledge and understanding of Capital Markets including Broker Dealer , Swap Dealer , and Foreign...integrity, manages risk and meets the needs of the senior leadership. + Directing, motivating, developing and managing the… more
- SMBC (New York, NY)
- …businesses. * Strong trading risk knowledge of products offered by brokers and swap dealer businesses * Strong understanding of market risk management framework ... SMBC is seeking an experienced Vice President - Audit Manager with a minimum of 8 years of experience...related to trading activities including Dodd Frank, Volcker including swap dealer requirements * Excellent communication, presentation… more
- TD Bank (New York, NY)
- …but not required. + 7-10 years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or associated ... and standardize annual reporting to regulators across broker-dealers and swap dealers and draft relevant content + Act as...and metrics on remediation efforts to be delivered to senior management committees and the Board of Directors of… more
- TD Bank (New York, NY)
- …but not required. + 5-7 years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or associated ... report on the status of Compliance policy and procedure initiatives to senior management, relevant boards and external stakeholders + Participate in special projects… more
- TD Bank (New York, NY)
- …but not required. + 7-10 years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or associated ... on the status of Compliance policy, procedure and training initiatives to senior management, relevant boards and external stakeholders + Participate in special… more
- TD Bank (New York, NY)
- …but not required. + 7 years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or associated ... service skills - experience demonstrating sound judgment and close partnership with senior managers and other stakeholders globally, as well as relationship and… more
Locations:
New York,
Pennsylvania