- SMBC (New York, NY)
- …well organized with project management skills. + Regulatory compliance experience at a broker dealer and or swap dealer preferred. BA/BS required. JD ... is conducted and transactions are executed. **Role Objectives** The Broker Dealer Regulatory Governance Advisory Team within the CPAD Advisory Function provides… more
- Unknown (Jersey City, NJ)
- …be part of a global compliance team that covers structural banking reform, including CFTC Swap Dealer , SEC Security-Based Swap Dealer , French Banking ... role include organizing and supervising the compliance program for swap dealer rules, monitoring and advising on...work autonomously while being a strong team player. Hiring Manager Title Head of GBR US Travel Percent Less… 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
- SMBC (New York, NY)
- …inventory of issues across CUSO Market Risk and other risk stripes under the Swap - Dealer and Broker- Dealer legal entity CRO umbrella. - Track and ... documentation and reporting approaches). - Understand regulatory requirements applicable to Swap - Dealer , Broker- Dealer , and Bank entities. **Communication… more
- Capco, a Wipro Company (New York, NY)
- …**What You'll Get to Do:** + Specialize in implementations to adhere to global Swap Dealer Compliance related rules and regulations + Advise and deliver change ... ensuring our clients grow, change and compete.? **About the Role:** As a Program Manager within the Capital Markets team, you will advise and deliver change projects… more
- Unknown (New York, NY)
- …Specialties fixed income otc derivatives electronic trading retail wealth management inter- dealer broking trade processing swaps etfs swap execution facility ... Trading Fixed Income Trading Investor Relations Middle Markets Money Markets Multi- dealer Trading Platform Muni Trading Options Trading Rates Trading Securities… more
- JPMorgan Chase (Jersey City, NJ)
- …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
- Scotiabank (Dallas, TX)
- …Planning, Operational Resiliency, OTC Remediation/ CFTC initiatives, FRTB, and Security based Swap Dealer in support of regulatory findings. **What You'll Do** ... Senior Manager , Regulatory and Business Initiatives Group **Requisition ID:** 236169 **Salary Range:** 99,790.00 - 190,995.00 _Please note that the Salary Range… 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...have regular career, development, and performance conversations with your manager , as well as access to an online learning… more
