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State Street Bank & Trust Co.
New York, NY, United States
Swap Dealer Compliance, Vice President Who we are looking for Swap Dealer Compliance seeks a Compliance Officer to advise internal stakeholders on implementation and development of Securities & Exchange Commission ("SEC), Commodity Futures Trading Commission ("CFTC") and National Futures Association ("NFA") swap dealer requirements, including leadi
Job Source: State Street Bank & Trust Co.Societe Generale SA
New York, NY, United States
**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 procedure
Job Source: Societe Generale SASumitomo Mitsui Banking Corporation (SMBC)
Jersey City, NJ, United States
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
Job Source: Sumitomo Mitsui Banking Corporation (SMBC)SMBC
Jersey City
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
Job Source: SMBCScotiabank Hockey Club
New York, NY, United States
Title: Director, Swap Dealer and Derivatives Compliance Requisition ID: 135776 Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. This individual must contribute to the overall success of the Compliance Department by taking a leadership role in ensuring specific individual and team goals, plans, a
Job Source: Scotiabank Hockey Clubscotia.design
New York, NY, United States
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 a
Job Source: scotia.designBNP Paribas Bank NV
Jersey City, NJ, United States
We are looking for **Vice President - Compliance Independent Testing Examiner Volcker & Swap Dealer** **Level of experience** **Location** **Business Overview:** Demonstrate the firms commitment to compliance by maintaining a compliance testing review program that evaluates the firms compliance with applicable laws and regulations and discloses vio
Job Source: BNP Paribas Bank NVThe Goldman Sachs Group, Inc.
New York, NY, United States
Global Compliance Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firms culture of compliance. Compliance accomplishes these through the firms enterprise-wide com Dealer, Compliance, Compliance Officer, Associate, Regulatory, Management, Business Services
Job Source: The Goldman Sachs Group, Inc.New York, NY
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 & Testing (Swaps)
Location: New York, NY (hybrid)
Pay Range: $150K - $175K, W2
What’s the Job?
Serves as the examiner-in-charge responsible for all facets of compliance monitoring and testing (M&T) engagements.
Assists in the development and refinement of M&T monitoring scripts.
Prepares information requests and announcement memoranda.
Performs assigned field work to validate the efficacy of internal controls and direct oversight of assigned staff and their assignments.
Performs Control Design Effectiveness analysis and review of the applicable rules and regulations.
What’s Needed?
7+ years of swap dealer experience
Compliance Testing, NFA, or Internal Audit background
Strong knowledge of U.S. laws, rules, and regulations pertaining to swaps dealers, including Title VII of the Dodd-Frank Act, associated CFTC regulations, and NFA rules
If this is a role that interests you and you’d like to learn more, click apply now and a recruiter will be in touch with you to discuss this great opportunity. We look forward to speaking with you!
About ManpowerGroup, Parent Company of: Manpower, Experis, Talent Solutions, and Jefferson Wells
ManpowerGroup® (NYSE: MAN), the leading global workforce solutions company, helps organizations transform in a fast-changing world of work by sourcing, assessing, developing, and managing the talent that enables them to win. We develop innovative solutions for hundreds of thousands of organizations every year, providing them with skilled talent while finding meaningful, sustainable employment for millions of people across a wide range of industries and skills. Our expert family of brands – Manpower, Experis, Talent Solutions, and Jefferson Wells – creates substantial value for candidates and clients across more than 75 countries and territories and has done so for over 70 years. We are recognized consistently for our diversity - as a best place to work for Women, Inclusion, Equality and Disability and in 2022 ManpowerGroup was named one of the World's Most Ethical Companies for the 13th year - all confirming our position as the brand of choice for in-demand talent.
Email Alert for VP Compliance Testing Swap Dealer jobs in New York, NY
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