Head of Swap Dealer, Volcker

We are working to deliver a legendary mobile experience. If your experience is less than optimal, please visit us on a desktop or laptop. **Vice President Swap Dealer and SBSD Compliance, TD Securities** 349440BR Securities / Wholesale Banking New York , NY February 15, 2022 **Company Overview** TD Securities provides a wide range of M&A advisory,...

Currently partnered with an established growing broker dealer that is seeking a strong Swap Dealer Compliance Associate to join their team in NYC. The ideal candidate will have a strong compliance background from a Broker-Dealer and a deep understanding of NFA, CFTC, and Dodd Frank Title VII SEF regulations.Responsibilities:Lead compliance efforts for all...

Currently partnered with an established growing broker dealer that is seeking a strong Swap Dealer Compliance Associate to join their team in NYC. The ideal candidate will have a strong compliance background from a Broker-Dealer and a deep understanding of NFA, CFTC, and Dodd Frank Title VII SEF regulations.Responsibilities:Lead compliance efforts for all...

Currently partnered with an established growing broker dealer that is seeking a strong Swap Dealer Compliance Associate to join their team in NYC. The ideal candidate will have a strong compliance background from a Broker-Dealer and a deep understanding of NFA, CFTC, and Dodd Frank Title VII SEF regulations.Responsibilities:Lead compliance efforts for all...

Currently partnered with an established growing broker dealer that is seeking a strong Swap Dealer Compliance Associate to join their team in NYC. The ideal candidate will have a strong compliance background from a Broker-Dealer and a deep understanding of NFA, CFTC, and Dodd Frank Title VII SEF regulations. Responsibilities: Lead compliance efforts for...

**Welcome to the Societe Generale Careers website.** Swap Dealer Compliance Officer Permanent contract| New York| Compliance **Swap Dealer Compliance Officer** New York, United States Permanent contract Compliance ** Responsibilities** * Recommend and implement changes to the Swap Dealer and SBSD Compliance Programs, relevant policies and procedures on an...

Our top banking client is seeking a Vice President of Compliance Monitoring & Testing (Swaps) to join their office in New York City. This position will  play an integral role in the development of the Monitoring and Testing program, and will have coverage over the banks Swap Dealer Operations.    Job Title: Vice President, Compliance Monitoring &...

Company DescriptionFinanceJob DescriptionLooking for 2-5 years of experienceRole will start onsite but ultimately be hybrid.Role in the Equity Swap Trade Support team supporting and supervising 2 HIFs (Volcker and Client Money), ensuring all high risk corporate action events are accurately processed within tight deadlines, swap trades are booked correctly,...

Title: Senior Manager, US Audit, Swap Dealer Compliance Requisition ID: 93952 Join the Global Community of Scotiabankers to help customers become better off. The Audit Department is the 3rd Line of Defense and plays a key role in the internal control system of the Bank. Its mandate is to provide independent and objective assurance over the design and...

Job Description:At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. Responsible Growth is how we run our company and how we deliver for our clients, teammates, communities and shareholders every day.One of the keys to driving Responsible Growth is being a great place to work for our...

Job Description:At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. Responsible Growth is how we run our company and how we deliver for our clients, teammates, communities and shareholders every day.One of the keys to driving Responsible Growth is being a great place to work for our...

About Us MarketAxess is on a journey to digitally transform one of the world's largest financial markets, enabling the shift from analog, phone-based trading to a fully electronic marketplace. Why does this matter? Because our platform makes trading fixed-income more accessible, ultimately improving transparency, efficiency, and competition in the...

Who You Are: The Legal & Compliance Director will be a Compliance Officer of both the Swap Dealer and the Commodity Pool Operator/Commodity Trade Advisor and will be responsible for establishing, maintaining and developing Galaxy's related compliance program for the relevant activities. Both the swap dealer and the CPO/CTA are both direct subsidiaries of...

About Our Client Our client is a reputable brokerage firm based in New York, NY. They specialize in providing financial services such as trading, investment advisory, and asset management. Job Description The Head of AML will be responsible for:Serve as the main contact for regulatory inquiries, ensuring prompt and accurate responses and...

SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance. The Group has more than 130 offices and 80,000 employees worldwide in nearly 40 countries. Sumitomo Mitsui Financial Group,...

Job descriptionThe role requires a strong technical background of trading Total Return Swaps, Single Stock Futures, Stock Borrowing and Lending as well as Custom Baskets. Knowledge of the Americas Delta 1 arena and being able to display strong relationships within the market. A broad understanding of Balance Sheet management with a view to efficiently...

We're building a relationship-oriented bank for the modern world. We need talented, passionate professionals who are dedicated to doing what's right for our clients. At CIBC, we embrace your strengths and your ambitions, so you are empowered at work. Our team members have what they need to make a meaningful impact and are truly valued for who they are and...

Job DescriptionJob DescriptionThis is a contract opportunity for a Liquidity Risk Analyst, this is a hyrbid work model including 2 days on site per week.Responsibilities:Compile a suite of daily and monthly liquidity risk related reports for the US Operations, with a key focus on banking entities (FBO Branch and IDI subsidiary) as well as broker dealer and...

Our purpose – Opening up a world of opportunity – explains why we exist. Here at HSBC we use our unique expertise, capabilities, breadth and perspectives to open up new kinds of opportunity for our more than 40 million customers. We’re bringing together the people, ideas and capital that nurture progress and growth, helping to create a better world...

**Poste et missions**: A VP-level professional is needed to support the Core Compliance Team in creating and maintaining processes to ensure that all impacted Natixis CIB Americas entities and employees are adequately registered with the appropriate regulatory bodies and comply with related registration requirements. This will include responsibility for the...