- Capital One (New York, NY)
- Trade Surveillance Manager (Broker- Dealer & Swap Dealer ) **About the Role** We are seeking a highly skilled Trade Surveillance Manager to lead and ... enhance the firm's surveillance program across both its institutional Broker- Dealer (BD) and Swap Dealer ...worked. New York, NY: $165,700 - $189,200 for Risk Manager Candidates hired to work in other locations will… more
- 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
- SMBC (New York, NY)
- …and issue management across Combined US Operations (CUSO), the SMBC Capital Markets Swap Dealer , and Nikko Securities America's Broker- Dealer entity. This ... Risk Governance: - Support all market risk governance obligations under CFTC Swap Dealer rules, including Risk Management Program (23.600), Supervision (23.602),… more
- Scotiabank (Dallas, TX)
- …of Scotiabank's US broker- dealer (including internal inspections), banking, swap dealer , futures commission merchant, investment management activities, ... Manager , Compliance Testing **Requisition ID:** 245239 **Salary Range:**...institutional trading & sales, investment banking, futures commission merchant, swap dealer activities, commercial banking, investment management,… more
- Scotiabank (Dallas, TX)
- …banking organization with institutional trading & sales, investment banking, institutional broker dealer and FCM/ swap dealer businesses. + A minimum ... Senior Manager , US Regulatory Obligations Lead **Requisition ID:** 247598...in the US, SEC registered broker-dealers, futures commission merchants, swap dealers and registered investment advisors. + Strong analytical… more
- Scotiabank (Dallas, TX)
- …institutional trading & sales, investment banking, futures commission merchant, swap dealer activities, commercial banking, investment management, and ... Senior Manager , GBM&T Compliance Testing, International Banking **Requisition ID:** 247734 **Employee Referral Program - Potential Reward:** $3,500.00 **Salary… more
- US Bank (Atlanta, GA)
- …+ Subject matter expert level of knowledge of applicable laws, regulations ( Swap Dealer Reporting, Volker Rule, Dodd-Frank), financial services, and regulatory ... solutions, and client support. The CAS Senior Audit Project Manager is primarily responsible for supervising staff in the...there are no direct reports. The Senior Audit Project Manager is a subject matter expert in a particular… more
- US Bank (Atlanta, GA)
- …Risk/Compliance/Audit competencies + Considerable knowledge of applicable laws, regulations ( Swap Dealer Reporting, Volker Rule, Dodd-Frank), financial services, ... operational solutions, and client support. The CAS Audit Project Manager is primarily responsible for supervising staff in the...however there are no direct reports. The Audit Project Manager is expected to monitor progress of audit engagements… 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
- TD Bank (New York, NY)
- …not required + 5 or more years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or associated ... more years of experience with a registered US broker dealer or regulator. + JD desirable but not required...have regular career, development, and performance conversations with your manager , as well as access to an online learning… more