• Swap Dealer Compliance…

    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
    CIBC (12/12/24)
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  • Compliance Monitoring & Testing…

    SMBC (Jersey City, NJ)
    …Description** SMBC's Compliance Department Americas Division is seeking a VP of Swap Dealer Compliance Monitoring & Testing (M&T). The VP is ... reporting. **Qualifications and Skills** + 7+ years of swap dealer experience + Has a Compliance Testing, NFA or Internal Audit background + Able to work… more
    SMBC (02/01/25)
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  • Swap Dealer Advisory, VP

    NatWest Markets (Stamford, CT)
    Swap Dealer Advisory, VP ... dealer + Recommend and assistinimplementingchanges to the swap dealer compliance program, relevantpoliciesand ... industry experience. Essential: + Experience working within a legal or compliance function of a Swap Dealer on Dodd-Frank (Title VII) rules and regulations… more
    NatWest Markets (01/04/25)
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  • Broker Dealer Advisory - VP

    NatWest Markets (Stamford, CT)
    Broker Dealer Advisory - VP Stamford,United States...NFA regulation. + Knowledge of broker- dealer and swap dealer compliance laws, rules ... 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
    NatWest Markets (01/04/25)
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  • Swap Dealer Testing VP

    NatWest Markets (Stamford, CT)
    Swap Dealer Testing VP Closing date...for assessing compliance risks and controls within the Swap Dealer testing program. The candidate will be ... the proper operations of the department and the business._ ** Swap Dealer Testing VP (2LOD)**... business. + Good knowledge of swap dealer regulations, and securities products and compliance … more
    NatWest Markets (01/23/25)
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  • US Client Services and Onboarding, Vice…

    NatWest Markets (Stamford, CT)
    US Client Services and Onboarding, Vice President Stamford,United States Permanent Full Time \#R-00240566 Our people work differently depending on their jobs and ... + In-depth knowledge of pre-trade client onboarding processes related to US broker-dealers, swap dealer and capital markets businesses with experience across a… more
    NatWest Markets (01/04/25)
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  • Internal Audit, Vice President…

    MUFG (New York, NY)
    …and familiarity with Broker - Dealer and applicable regulations, such as DFA Swap Dealer , Volcker and FINRA, SEC and NASD rules. + Experience working with ... May supervise staff during an audit engagement at the VP Level and below. **Major Responsibilities:** + Act as...impact on risk and/or risk management practices. + Maintain compliance with audit methodology, while also operating within industry… more
    MUFG (01/24/25)
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  • Internal Audit - Compliance

    Mizuho Corporate Bank (New York, NY)
    …Audit Division (IAD). Summary Internal Audit seeks a candidate to fill an Assistant Vice President role for the Compliance area. The candidate should ... to add value and improve Mizuho Bank's US operations including derivative activities, broker dealer and swap dealer businesses. Based in the New York… more
    Mizuho Corporate Bank (02/04/25)
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