VP Compliance Testing Swap Dealer

As a Barclays Compliance Assurance Monitoring and Testing Vice President (VP), you will be responsible for supporting Compliance in achieving its mission, purpose, and objectives with an assurance capability to meet the demands of a Compliance function. You will be responsible for managing and executing assurance reviews and/or issue validation to assess and...

Our client, a major bank in New York City, is looking for Equity Swaps Business Analyst.This is hybrid commute, 2/3 day per week in the office.12 months initial contract with possible extensions or option to hire. Must be authorized to work for ANY employer in US - NO H1 Visa support for this roleRate:$70-80 on W2, possible C2C as well.Equity Swaps Business...

Job DescriptionYou will have strong analytical, process management and communication skills with a proven ability to work with cross-functional teams. You will be responsible for managing interactions with regulatory agencies to ensure compliance with applicable laws and regulations. You will be responsible for preparing regulatory submissions, and...

Leading Financial Services Firm in Manhattan, New YorkLong term contract with competitive rate and opportunity for conversion About Our Client A Wealth Management Firm known for its extensive range of financial products and services, including asset management, risk management, and advisory services. Job DescriptionExtensive expertise in Total Return Swaps,...

Do you want more than just another job? Are you ready to team up with an organization that values your contributions? Then Hired by Matrix is for you Working with some of the US' premier companies, we excel at connecting candidates with positive cultures and dynamic teams. We even go the extra mile with our signature Consultant Appreciation Program (CAP) to...

Nasdaq Technology is seeking a Regulatory Compliance Analyst to enhance our Broker Dealer team. If you are driven by innovation and efficiency, this role may be the perfect fit for you. At Nasdaq, we are committed to transforming markets and embracing new technologies to create cutting-edge solutions that shape the future. As a Regulatory Compliance Analyst,...

Job SummaryCrédit Agricole CIB is seeking a highly experienced Compliance Advisory Expert to join our team in New York. As a key member of our Global Markets Compliance team, you will be responsible for providing expert advice on regulatory compliance matters related to swap dealers and broker dealers.Key Responsibilities:Develop, implement, and refine a...

Job DescriptionJob Title: Global Markets Regulatory Compliance AdvisoryBusiness Type: Financial ServicesJob Summary:We are seeking a highly experienced Compliance Advisory Expert to join our team at Crédit Agricole CIB. As a Global Markets Regulatory Compliance Advisory Director, you will be responsible for providing expert advice on regulatory compliance...

Position Overview: We are seeking a skilled Business Analyst specializing in Equity Swaps to join our dynamic team at Diverse Lynx.Key Responsibilities:The individual will serve as a development analyst and scrum master, overseeing the planning and coordination of the development team to ensure the successful delivery of project milestones.This role involves...

About the RoleWe are seeking a highly skilled and experienced Treasury Analyst to join our team at MUFG Securities Americas Inc. as an AVP. The successful candidate will be responsible for managing liquidity risk management reporting and analysis for the Canadian Broker Dealer, as well as collaborating with Treasury, Finance, Operations, Legal and Business...

Job DescriptionWe are seeking a highly skilled and experienced Chief Compliance Officer to join our team at Tradeweb Markets. As a key member of our organization, you will play a critical role in ensuring that our company remains compliant with all relevant laws and regulations.Key ResponsibilitiesCompliance Program Management: Develop and implement...

You Lead the Way. We've Got Your Back.With the right backing, people and businesses have the power to progress in incredible ways. When you join Team Amex, you become part of a global and diverse community of colleagues with an unwavering commitment to back our customers, communities and each other. Here, you'll learn and grow as we help you create a career...

Our client is a leading re/insurance intermediary and corporate advisor/broker dealer, offering bespoke and innovative capital, risk, and program solutions.The primary responsibilities of the VP, Actuary includePricing reinsurance contracts across varying insurance coverages and products and providing clients with continuous support throughout the...

About the RoleCIBC is seeking an experienced Executive Director to lead our Regulatory Oversight team. As a key member of our Global Markets organization, you will be responsible for developing and implementing a robust supervisory program to ensure compliance with regulatory requirements.Key ResponsibilitiesDevelop and maintain a comprehensive supervisory...

Global Compliance is tasked with the essential role of identifying, addressing, and minimizing compliance, regulatory, and reputational risks throughout the organization. This team is pivotal in enhancing the firm's compliance culture by establishing robust controls, policies, and procedures. As a key component of the second line of defense, Compliance...

Cntinuously assessing whether an organization is adhering to regulatory requireMedical, Dental, Vision Benefits, Hybrid schedule, Competitive pay About Our Client A leading financial institution located in the heart of Midtown Manhattan, dedicated to providing exceptional banking services and solutions to our clients. We are committed to maintaining the...

Social Capital Resources is in search of a Compliance Director, specializing in Marketing Oversight.Key Responsibilities:Oversee the evaluation of marketing materials for both institutional and retail clients.Monitor, assess, and enhance compliance frameworks for registered investment advisers, registered funds, and private investment vehicles.Scrutinize...

Job ID:R Full/Part-Time: Full-time Regular/Temporary: Regular Location: New York Position Overview Job Title Anti Financial Crime (AFC) Compliance Testing Lead Corporate Title Assistant Vice President Location New York, NY Overview At Deutsche Bank, our Anti Financial Crime (AFC) division plays a pivotal role in safeguarding our operations and the global...

As an Anti-Money Laundering Compliance Officer, you will be responsible for overseeing and managing the Firm's AML, BSA, and OFAC compliance programs.The candidate must possess an in-depth understanding of AML requirements driven by FINRA, SEC, MSRB, OCC, and blue-sky regulations.Oversee the Firm's BSA/AML/OFAC Program by establishing, implementing, and...

Job OverviewSalary: SoHo Dragon is representing a prominent investment banking institution seeking to appoint a Project Manager.Work Arrangement: HybridKey Responsibilities:Oversee the execution of projects from inception to completion, ensuring the development of optimal business processes and the implementation of technology solutions.Collaborate across...