- 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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Groupe BPCE New York, United StatesPoste et missions · 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, C ...
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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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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 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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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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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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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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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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Counterparty Risk
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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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Liquidity Risk Management Associate
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BizTek People, Inc. | APA International Placement Consultants New York, United StatesResponsibilities: · • Compile a suite of daily and monthly liquidity risk related reports for the US Operations, with a key focus on banking entities as well as broker dealer and derivative swap dealer entities. · • Monitor liquidity risk and ensure adherence to the liquidity rep ...
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Head of Counterparty Credit Risk Reporting
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Citi Queens, United StatesCCR Reporting Head is key leadership role for senior management and Board reporting on Counterparty Credit Risk (CCR). CCR Reporting Head acts as a key SME for CCR data and reporting related initiatives, partnering with various groups across Risk, 1LoD, Markets and Technology · * ...
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Production & Sales Planning Specialist
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BMW Woodcliff Lake, United StatesAs an independent group of companies, the BMW Group has a commitment to creativity and breakthrough ideas that goes well beyond the racetrack. In order to continuously create ultimate driving machines, we drive our growth and design excellence by staffing our teams with individua ...
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Treasury VP, Derivatives Analytics
3 days ago
Mizuho Americas Services, LLC New York, United StatesMizuho Capital Markets Treasury is seeking a VP Treasury Derivatives Analytics. The candidate will be a member of a team responsible for managing and reporting the risks associated with derivatives entities and swap dealers. The candidate will have a Treasury, VP, Analytics, Fore ...
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Client Management Lead, Director
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Sumitomo Mitsui Financial Group, Inc. 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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Jefferies New York, United StatesJob Description · Job Description: · As part of the Global Equities Prime Services Backoffice technology team, an opportunity exists for a senior level C#/SQL developer to work on the firm's global equities trading systems. The system aims to develop the Jefferies Global Swap De ...
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BGC Group New York, United StatesJob Title: Chief Compliance Officer Swap Execution Facility · Location: 55 Water Street, or Iselin, NJ Branch Office (Currently hybrid: remote one day and in office four days per week) · Firm Overview: · BGC Partners is a leading global brokerage and financial technology company. ...
Compliance Officer-Swap Dealer/Security-Based Swap Dealer - New York, United States - Natixis Corporate & Investment Banking
Description
Job DescriptionNatixis 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:
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 ...