- CIBC (New York, NY)
- …about CIBC, please visit CIBC.com (https://www.cibc.com/en/about-cibc.html) **What You'll Be Doing:** The Swap Dealer Compliance Officer is responsible ... to support CIBC's Swap Dealer Compliance program. The Swap Dealer Compliance Officer is primarily responsible for 1) advising CIBC's global… more
- Scotiabank (New York, NY)
- …, Scotia Capital USA ("SCUSA") Futures Commission Merchant ("FCM"), and Security-Based Swap Dealer Chief Compliance Officer in: + the business as usual ... plans, and initiatives are executed and delivered in support of the Swap Dealer Compliance team's business strategies and objectives. This individual must… more
- Wells Fargo (New York, NY)
- …Qualifications:** + Experience with Institutional Interest Rates Compliance , including Primary Dealer activities, CFTC Swap Dealer and Foreign Exchange ... **About this role:** Wells Fargo is seeking a Lead Compliance Officer to join the CIB Macro...Exchange Lines of Business as well as the CFTC Swap Dealer within the Markets Division. This… more
- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking a Lead Compliance Officer in Corporate and Investment Banking (CIB) Compliance to lead various topics across CIB ... Compliance . The Lead Compliance Officer will be responsible for managing...Dealers, and associated regulators (eg, investment banking, financial markets, Broker- Dealer , Swap Dealer , Futures Commission… more
- SMBC (New York, NY)
- …Back office processes specific to derivatives, fixed income and FX * Prior banking, Swap Dealer related compliance and risk management requirements & best ... Description** The SMBC Capital Markets, Inc. Capital Market Business Control Officer is a business-aligned change agent and risk management individual contributor.… more
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