- 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 that the ... the overall success of GBM&T Compliance Testing team and Swap Dealer and Derivatives Compliance ensuring specific individual goals,...to support compliance testing for Scotiabank's compliance of CFTC Swap Dealer, SEC Security Based Swap Dealer… more
- NatWest Markets (Stamford, CT)
- Swap Dealer Testing VP Stamford,United States Permanent Full Time \#R-00249217 Our people work differently depending on their jobs and needs. From hybrid working to ... the proper operations of the department and the business._ ** Swap Dealer Testing VP (2LOD)** Reporting to the Senior...responsible for assessing compliance risks and controls within the Swap Dealer testing program. The candidate will be part… more
- PNC (Houston, TX)
- …to the company's success. As Compliance Program Specialist Senior within the Swap Dealer Compliance team, you will join PNC's Independent Risk Management ... discretion. As a Compliance Program Specialist Senior within the Swap Dealer Compliance team, you will monitor and test...team, you will monitor and test activity related to SWAP dealer and Capital Markets. This position supports business… more
- Citigroup (Jersey City, NJ)
- …Assessment (CIA) Team responsible for assessing compliance with Volcker rule, Swap dealer requirements and significant compliance risks and controls implemented by ... issue validation activities for the global Volker Independent Testing Program, Swap Dealer Program and Counterparty Risk and Trading business within Markets… more
- US Bank (Atlanta, GA)
- …discover what you excel at-all from Day One. **Job Description** SUMMARY The Swap Data Reporting Analyst reports to the Derivatives and FX Compliance Support Manager ... and other industry-wide initiatives that may have a material impact on swap data reporting. - Well-developed analytical, problem solving, and critical thinking… more
- ManpowerGroup (New York, NY)
- …financial services firm, is seeking an Internal Auditor to join their team. As a Swap Dealer Auditor, you will be part of the audit team supporting the swap ... and a strong background in auditing and regulatory compliance. **Job Title:** Swap Dealer Auditor **Location:** New York, New York (Remote) **Pay Range:**… more
- Citizens (Boston, MA)
- …unit risk function. The Senior Risk Manager will support the global markets and swap dealing businesses of Citizens, which sits within its CFTC-registered swap ... to junior analysts, relative to issue management and control inventory for swap dealer activities Experience and Skills: + Strong knowledge of internal controls… more
- NatWest Markets (Stamford, CT)
- …within the Natwest Market's Sales and Trading business including the US Rates, Repo, Swap Dealer, and Credit Sales & Trading desks. The ideal candidate will be able ... The ideal candidate will have experience with broker-dealer and swap dealer rules and regulations and providing compliance support...sales and trading including but not limited to CFTC Swap Dealer Rules, TRACE Reporting, Primary Dealer Rules, and… more
- Capital One (Mclean, VA)
- …Communications Surveillance Program and Trade Surveillance for Capital One's CFTC Swap Dealer and three Broker-Dealers. You will maintain the Surveillance function ... and decision-making. **Responsibilities:** + Oversight of trade surveillance for Swap Dealer (interest rate, FX commodities-energy) and institutional Broker-Dealers… more
- Citigroup (Getzville, NY)
- …Title VII (CFTC/SEC), and Canada. The team is responsible for the NAM Swap /Security-based Swap Trade Reporting, along with the ongoing governance, oversight of ... testing teams, and internal audit, with respect to Citi's global swap and security-based swap dealing activities. The role combines specialty knowledge of CFTC,… more
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