Job Title: Swap Dealer Compliance Senior SME Location: New York, NY(Hybrid(3 days/week)) Duration: 12+ Months... U.S. Swap Dealer Compliance Program, including policies and procedures, training, issues management, governance and management...
: Develop and maintain an in-depth understanding of the firm's Swap Dealer compliance program. Manage and execute audits... focused on the firm's compliance with the Swap Dealer requirements including planning and scoping, fieldwork and audit test...
Compliance Officer, the Executive Committee and Senior Management · Track and monitor issues identified from the assigned... such as capital markets, debt capital markets, investment banking, and corporate banking coverage as well as broker-dealer / swap...
communicate testing results to stakeholders which may include the Chief Compliance Officer, the Executive Committee and Senior... coverage as well as broker-dealer / swap dealer regulatory framework such as SEC, FINRA, NFA, CFTC rules Required skills...
Compliance Officer, the Executive Committee and Senior Management · Track and monitor issues identified from the assigned... such as capital markets, debt capital markets, investment banking, and corporate banking coverage as well as broker-dealer / swap...
, swap dealer, futures commission merchant, investment management activities, corporate functions, cross-border testing... in compliance applicable to broker-dealer internal inspections, institutional trading & sales, investment banking, futures...
, swap dealer, futures commission merchant, investment management activities, corporate functions, cross-border testing... in compliance applicable to broker-dealer internal inspections, institutional trading & sales, investment banking, futures...