- 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 ... to the overall success of GBM&T Compliance Testing team and Swap Dealer and Derivatives Compliance ensuring specific individual goals, plans, initiatives are… more
- PNC (Chicago, IL)
- …supporting the Compliance Audit team supporting Corporate & Institutional Banking, Treasury Management, Swap Dealer & Broker Dealer . This position is ... the field on a regular basis. Some responsibilities may be performed remotely, at manager 's discretion. Are you interested in an opportunity to join a dynamic and… 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
- 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
- Bank of America (Charlotte, NC)
- …returns for locally regulated legal entities including broker dealers and swap dealers. Key responsibilities include performing and documenting control processes and ... The Regulatory Reporting Controller II role is within the GRR Broker Dealer organization responsible for the preparation of Regulatory Reporting calculations (SEC… 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)
- …but not required. + 5-7 years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or associated ... you succeed. You'll have regular career, development, and performance conversations with your manager , as well as access to an online learning platform and a variety… 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 ... you succeed. You'll have regular career, development, and performance conversations with your manager , as well as access to an online learning platform and a variety… 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 ... you succeed. You'll have regular career, development, and performance conversations with your manager , as well as access to an online learning platform and a variety… more