- 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
- Citigroup (Jersey City, NJ)
- …Independent Assessment (CIA) Team responsible for assessing compliance with Volcker rule, Swap dealer requirements and significant compliance risks and controls ... Serves as a senior compliance risk manager for Independent Compliance Risk Management (ICRM)'s Compliance...validation activities for the global Volker Independent Testing Program, Swap Dealer Program and Counterparty Risk and… more
- PNC (Houston, TX)
- …contribute to the company's success. As Compliance Program Specialist Senior within the Swap Dealer Compliance team, you will join PNC's Independent Risk ... at manager 's discretion. As a Compliance Program Specialist Senior within the Swap Dealer Compliance team, you will monitor and test activity related to… more
- SMBC (New York, NY)
- …Job Knowledge and Core Competencies/Skills: + Extensive Compliance Advisory experience at a broker dealer and or swap dealer . + Strong knowledge in US ... securities and swaps laws, rules and regulations and broker and swap dealer operations. + Ability to communicate this knowledge and applicability. +… more
- Citigroup (Tampa, FL)
- …aspects in managing the US Broker Dealer and its related activities as a CFTC Swap Dealer and FCM. This role entails managing the risk of this legal entity ... to join the CRO team of Citi's US Broker Dealer legal entity. The objective of the role is...appropriate. + Enhance controls and assessments captured in the Manager 's Control Assessment + Candidate will need to work… more
- Citizens (Boston, MA)
- … swap dealing businesses of Citizens, which sits within its CFTC-registered swap dealer . These businesses include the foreign exchange, interest rate hedging, ... Description The Senior Risk Manager , Global Markets is a key role on...analysts, relative to issue management and control inventory for swap dealer activities Experience and Skills: +… more
- Bank of America (Charlotte, NC)
- …Lead EFR coverage of SEC broker dealer net capital rules and CFTC swap dealer capital rules, including executing capital calculation testing and review and ... Enterprise Financial Risk Capital Risk Manager Charlotte, North Carolina;New York, New York **Job...management activities, including capital planning and forecasting for broker dealer and swap dealer entities,… more
- Scotiabank (New York, NY)
- …of Scotiabank's US broker- dealer (including internal inspections), banking, swap dealer , futures commission merchant, investment management activities, ... Manager , Compliance Testing **Requisition ID:** 223397 **Salary Range:**...institutional trading & sales, investment banking, futures commission merchant, swap dealer activities, commercial banking, investment management,… more
- Capital One (New York, NY)
- …and Trade Surveillance for Capital One's Commodity Futures Trading Commission (CFTC) Swap Dealer and three Broker-Dealers. You will maintain the Surveillance ... and decision-making. **Responsibilities:** + Oversight of trade surveillance for Swap Dealer (interest rate, FX commodities-energy) and...At least 3 years of experience as a people manager + At least 5 years of experience in… more
- CIBC (New York, NY)
- …regulated by the Federal Reserve offering both consumer and commercial loans. + CFTC registered swap dealer and SEC registered security-based swap dealer ... **How You'll Succeed** + Assist with planning, scoping and designing risk-based compliance examinations that address coverage of laws and regulations applicable CIBC Combined US region as well as adherence to internal policies and standards ("regulatory… more