Swap Dealer Head of Regulatory Reporting

THE ROLE: Expertise in CFTC Swap Dealer and SEC Security-Based Swap Dealer rules. Leading a global team that oversees regulatory requirements and control frameworks. Has experience providing advisory guidance for complex regulations, conducting risk assessments, testing and regulatory implementation. RESPONSIBLITIES: Lead the Swap Dealer, Volcker and IB...

THE ROLE: Expertise in CFTC Swap Dealer and SEC Security-Based Swap Dealer rules. Leading a global team that oversees regulatory requirements and control frameworks. Has experience providing advisory guidance for complex regulations, conducting risk assessments, testing and regulatory implementation. RESPONSIBLITIES: Lead the Swap Dealer, Volcker and IB...

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...

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,...

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...

Our client, a top-tier Management Consulting firm is seeking a qualified SWAP Reg Reporting Specialistfor a top-tier US Bank. Requirements & Qualifications: CFTC Part 43 and Part 45 reporting experience Strong Business Analyst with derivatives experience Complex Data analysis and controls experience Change management experience SWAP Data Regulation...

Job description Business type Types of Jobs - Compliance / Financial Security Job title Global Markets Regulatory Compliance Advisory - Americas Contract type Permanent Contract Job summary Summary Global Markets Regulatory Compliance (“GMRC”) Advisory – Americas Vice President is responsible for providing advisory on...

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...

Responsibilities: Ensuring regulatory compliant reporting, and all aspects of general ledger integrity and balance sheet substantiation Developing a good understanding of the investment bank product set and systems and how these interface into the financial reporting process Develop a sound understanding of US GAAP related to investment bank products and...

Title: Equity Swaps Trade Support Location: NYC Remote/Hybrid/Onsite: Onsite Position Type: Contract, possible temp-to-perm Duration: 12+ months Rate: $35.00 - $37.00/hr ROLE OVERVIEW: Role in the NA Equity Swap Trade Support team supporting and supervising 2 HIFs (Volcker and Client Money), ensuring all high risk corporate action events are accurately...

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: Equity Swaps Trade SupportLocation: NYCRemote/Hybrid/Onsite: Onsite Position Type: Contract, possible temp-to-permDuration: 12+ monthsRate: $35.00 - $37.00/hr ROLE OVERVIEW:Role in the NA Equity Swap Trade Support team supporting and supervising 2 HIFs (Volcker and Client Money), ensuring all high risk corporate action events are accurately processed...

Title: Equity Swaps Trade SupportLocation: NYCRemote/Hybrid/Onsite: Onsite Position Type: Contract, possible temp-to-permDuration: 12+ monthsRate: $35.00 - $37.00/hr ROLE OVERVIEW:Role in the NA Equity Swap Trade Support team supporting and supervising 2 HIFs (Volcker and Client Money), ensuring all high risk corporate action events are accurately processed...

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 scheduling and...

Location: New York, NY, US ** Compliance Officer - US Broker-Dealer** **About Swiss Re** Swiss Re is one of the worlds leading providers of reinsurance, insurance and other forms of insurance-based risk transfer, working to make the world more resilient. We anticipate and manage a wide variety of risks, from natural catastrophes and climate change to...

Role: Senior Business Analyst, Regulatory TechnologyLocation: New York, NY (Hybrid)Duration: FulltimeGenpactRole DescriptionGlobal Regulatory Tech team develops and supports applications required to ensure regulatory compliance. Regulatory obligations covered include Trade and Transaction reporting (Dodd-Frank, EMIR, Mifid2, HKMA, CSA, CAT )Team is looking...

Job Description Looking for 2-5 years of experience Role 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, hedge positions are...