- 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 (New York, NY)
- The Swap Dealer Compliance Senior Vice President will serve as a key contributor on the team responsible for coordinating Citi's global Swap ... Risk Management (ICRM) program. The individual will serve as a senior swap dealer compliance risk officer for (ICRM) responsible for establishing internal… more
- 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
- HSBC (New York, NY)
- …a broad remit and responsibilities, which include but are not limited to: As our Vice President Compliance Risk Steward Regulatory Reporting you will: + ... the planet we all share. As Risk Stewards, Regulatory Compliance (RC) Advisors provide advice, guidance, opinions, direction, and...to completeness and accuracy of regulatoryfilings for the broker dealer ,FCM and Swap Dealer ; assessment… more
- Mizuho Corporate Bank (New York, NY)
- …to add value and improve Mizuho Bank's US operations including derivative activities, broker dealer and swap dealer businesses. Based in the New York ... to and composes the overseas arm of MHBK's Internal Audit Division (IAD). Summary Vice President supporting IADA by maintaining a robust Quality Assurance (QA)… more