- Assist with providing daily compliance oversight and support to the Global Markets Derivatives sales and trading business, and key support functions such as Operations.
- Provide subject matter expertise on compliance related matters for derivatives products such as Foreign Exchange, Commodities, and Interest Rate Derivatives.
- Assist with swap dealer and security-based swap dealer Associated Person enquiries.
- Assist with developing and delivering swap dealer and security-based swap dealer compliance training content for regional and global Associated Persons and other key support functions personnel.
- Draft and update swap and security-based swap compliance guidelines, policies, and procedures to address new and modified regulatory requirements and business processes.
- Work with the Legal Department and outside counsel on potential swap and security-based swap rules, regulations and interpretive guidance for the business and support Functions.
- Assist with enquiries from Internal Audit and U.S. regulators (e.g., NFA and SEC) during regulatory audits and regulatory exams.
- Assist in the enhancement of existing surveillance monitoring models and controls and contribute to the development of new models and detection tools.
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Swap Dealer Risk
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Financial Executives International New York, United States**Swap Dealer Risk & Control Senior Analyst AVP** · Citigroup Getzville , NY 14068 · We value our talented employees, and whenever possible strive to help one of our associates grow professionally before recruiting new talent to our open positions. If you think the open positio ...
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Natixis Corporate & Investment Banking New York, United StatesNatixis seeks vp-level Compliance Officer to join and grow with the CIB Americas Compliance Department. As a member of the Compliance Advisory Team, the Compliance Officer will provide day to day coverage of SEC Security-Based Swap Dealer (SBSD) regulation, CFTC Swap Dealer (SD) ...
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Natixis Corporate & Investment Banking New York, United StatesNatixis seeks vp-level Compliance Officer to join and grow with the CIB Americas Compliance Department. As a member of the Compliance Advisory Team, the Compliance Officer will provide day to day coverage of SEC Security-Based Swap Dealer (SBSD) regulation, CFTC Swap Dealer (SD) ...
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Natixis Corporate & Investment Banking New York, United StatesJob Description · Natixis seeks vp-level Compliance Officer to join and grow with the CIB Americas Compliance Department. As a member of the Compliance Advisory Team, the Compliance Officer will provide day to day coverage of SEC Security-Based Swap Dealer (SBSD) regulation, CFT ...
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Natixis Corporate & Investment Banking New York, United StatesNatixis seeks vp-level Compliance Officer to join and grow with the CIB Americas Compliance Department. As a member of the Compliance Advisory Team, the Compliance Officer will provide day to day coverage of SEC Security-Based Swap Dealer (SBSD) regulation, CFTC Swap Dealer (SD) ...
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Swap Dealer Compliance Officer
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Societe Generale SA New York, 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 ...
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Head of Swap Dealer, Volcker
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Larson Maddox New York, United States Full timeTHE 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 ...
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Swap Dealer Compliance Associate
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Phaxis New York, United StatesCurrently 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 Fra ...
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Swap Dealer Compliance Associate
1 week ago
Phaxis LLC New York, United StatesEstablished broker dealer is seeking a compliance candidate with swap dealer experience to join their growing team. · Responsibilities: · Lead compliance efforts for all Swaps executed through the Firm's Swap Execution Facility (SEF), serving as the primary point of contact for ...
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Vice President Swap Dealer Compliance
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HSBC New York, United StatesJob description · 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 peop ...
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VP Compliance Testing Swap Dealer
1 day ago
Experis New York, United StatesOur 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 Dea ...
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Swap Dealer Head of Regulatory Reporting
3 days ago
Galaxy Digital New York, United StatesWho You Are: · The Head of Regulatory Reporting Swap Dealer will be responsible for establishing, maintaining, and developing Galaxy's swap dealer financial and regulatory reporting framework for swap dealer activities. The swap dealer is a direct subsidiary of Galaxy Digital L.P ...
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Swap Dealer Head of Regulatory Reporting
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Galaxy USA New York, United StatesWho We Are: · At Galaxy we are building products and services to help the world invest in economic progress. We believe crypto and blockchain innovations will permeate and improve all aspects of our global economy. Our vision is a society where value and ownership flow as freely ...
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Senior Manager, US Audit, Swap Dealer Compliance
3 weeks ago
scotia New York, United StatesTitle: 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. ...
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Goldman Sachs New York, United StatesGLOBAL COMPLIANCE · Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance. Compliance accomplishes these through the firm's enterprise-wide compliance risk management pro ...
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TD Bank Group New York, United StatesWe 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 · Februar ...
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Regulatory and Control Associate
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Sumitomo Mitsui Banking Corporation New York, United StatesSMBC 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 ...
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E-trading Stp Implementation Specialist Eq Api
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Bloomberg New York, United StatesBloomberg is a global leader in business and financial information, news and insight, and we use innovative technology to deliver trusted data and bring transparency to the financial markets. Our customers around the globe rely on us for the information and tools they need to mak ...
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Vice President
1 week ago
BNP Paribas New York, United StatesVICE PRESIDENT - TRADE MANAGER (JOB NUMBER: TRA001648) · **Business Overview**: · The Transaction Banking Americas division provides solutions to improve and optimize the working capital of financial institutions and corporate clients worldwide. This division encompasses four dif ...
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Associate - Corporate Macro Fx Sales
1 week ago
BNP Paribas New York, United StatesASSOCIATE - CORPORATE MACRO FX SALES (JOB NUMBER: FXL000025) · **Business Overview**: · - Results and Impact · - Able to influence peers and team. · - Demonstrates good judgement when making decisions of high complexity and impact. · - Exercise appropriate autonomy in the executi ...
Compliance Officer-Swap Dealer/Security-Based Swap Dealer - New York, United States - Groupe BPCE
Description
Poste et missionsNatixis seeks vp-level Compliance Officer to join and grow with the CIB Americas Compliance Department. As a member of the Compliance Advisory Team, the Compliance Officer will provide day to day coverage of SEC Security-Based Swap Dealer (SBSD) regulation, CFTC Swap Dealer (SD) and NFA regulation, including responsibility for oversight of trade surveillance activity and escalations.
The role will include interacting with a wide group of compliance and business stakeholders locally and globally to support adherence to regulatory requirements, compliance management priorities and contribute to initiatives, as well as build collaborative relationships across various departments.
The salary range for this position will be between $140,000 - $180,000. Natixis is required by law to include a reasonable estimate of the compensation range for this role. Actual base salary will vary and will be based on several factors including, but not limited to, relevant experience, education, skills set, applicable licensure and certifications, and other business and organizational needs. Base salary is only one component of our total rewards package. Natixis also offers a generous benefits package, and you may be eligible for a discretionary incentive award depending on company and individual performance.
His/her/their will include providing regulatory and compliance advice for the SD and SBSD Business and supporting the Head of Compliance Advisory. More specifically:
Bachelors Degree
6+ years' compliance experience
3+ years of experience and expertise of laws, rules and regulation pertaining to NFA, CFTC Swap Dealer and SEC Security-Based Swap Dealer.
Experience interacting with the Front Office sales and trading business.
Ability to understand the compliance issues involved with the Global Markets Business, swaps and security-based swap regulation.
Ability to interpret and analyze regulations to determine the impact to the firm.
Experience with identifying and drafting compliance policies or requirements.
Ability to maintain an objective and independent perspective and offer consistent compliance interpretations to first-line personnel.
Self-directed and highly motivated candidate who has demonstrated ability to take initiative and work independently.
Experience with developing and reviewing surveillance alerts and swaps-related scenarios would be useful.
Project management skills
Strong analytical and organizational skills
Compliance Officer-Swap Dealer/Security-Based Swap Dealer professionals in New York City
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Bilal Bhatti
Bilal Bhatti · Email: afroz.m@amvotech.com · Ph.no: 609-210-0083 · Summary: · 8+ years of experience ...