- ManpowerGroup (Jersey City, NJ)
- …relevant rules. **Responsibilities** + Advise and implement enhancements to the overall Swap Dealer Compliance Program, including policies and procedures ... conflicts of interest and other issues that may arise in running the Swap Dealer Compliance Program + Advise the business on regulatory requirements,… more
- NatWest Markets (Stamford, CT)
- Senior Monitoring and Testing Compliance Assurance Officer - Swap Dealer Stamford,United States Permanent Full Time \#R-00244248 Our people work differently ... IT technologiesutilizedin theswap- dealer business. + Strong knowledge ofswap dealer regulations, andsecurities products and compliance including knowledge of… more
- SMBC (Jersey City, NJ)
- …**Role Description** SMBC's Compliance Department Americas Division is seeking a VP of Swap Dealer Compliance Monitoring & Testing (M&T). The VP is ... testing reviews. This role will have coverage for SMBC's Swap Dealer operations. The candidate should have...Serves as the examiner-in-charge responsible for all facets of compliance M&T engagements. + Assists in the development and… more
- CIBC (NY)
- …CIBC, please visit CIBC.com (https://www.cibc.com/en/about-cibc.html) **What You'll Be Doing** The Global Swap Dealer Compliance Officer is responsible for ... trade and position reporting reviews, and analytical functions to support CIBC's Global Swap Dealer Compliance program. The Global Swap Dealer … more
- Citigroup (Jersey City, NJ)
- …Management (ICRM)'s Compliance Independent Assessment (CIA) Team responsible for assessing compliance with Volcker rule, Swap dealer requirements and ... 10+ years' managerial experience of large teams + Extensive global Volcker, Swap Dealer and Markets compliance and audit related experience, and strong… more
- Citigroup (Jersey City, NJ)
- …compliance testing reviews and regulatory issue validation activities related to **Volcker, Swap Dealer (CFTC and SBSD) testing programs and Financial Markets ... Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)'s Testing team responsible for assessing compliance risks and controls… more
- NatWest Markets (Stamford, CT)
- …FINRA, SEC, CFTC, DTCC and NFA regulation. + Knowledge of broker- dealer and swap dealer compliance laws, rules and regulations. + Strong interpersonal ... Sales and Trading business including the US Rates, Repo, Swap Dealer , and Credit Sales & Trading...experience with broker- dealer and swap dealer rules and regulations and providing compliance … more
- SMBC (New York, NY)
- …a team of three direct reports. + Support areas such as trade reporting, recordkeeping, and swap dealer compliance . + Ensure compliance with certain SMBC ... of Compliance Infrastructure Advisory, you will: + Coordinate bank, broker- dealer , and swap dealer regulatory Compliance programs across SMBC's… more
- ManpowerGroup (New York, NY)
- …communication and interpersonal skills, and a strong background in auditing and regulatory compliance . **Job Title:** Swap Dealer Auditor **Location:** New ... **Pay Range:** Competitive **What's the Job?** + Conduct comprehensive audits of swap dealer activities to ensure compliance with regulatory requirements. +… more
- CIBC (New York, NY)
- … Officer, the Director, RCM Portfolio Management is responsible for providing support to Swap Dealer Compliance ("SDC") to ensure the Bank's regulatory ... job aids and other communications for the RCM Program. + Support the Swap Dealer Chief Compliance Officer to design and produce RCM related reporting,… more