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The ideal candidate will have extensive expertise in banking operations, Broker Dealer and Swap Dealer regulations (including the global impact of relevant U.S. regulations), compliance with regulations, and a deep understanding of front office sales and trading operations.
$170,000 - $200,000 a yearFull-timeExpandUpdated 26 days ago - UpvoteDownvoteShare Job
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Reporting to the CEO, you will oversee the broker-dealer compliance program functions including implementation of written supervisory procedures, policies, training, annual testing, transaction monitoring, and AML compliance.
Full-timeExpandApply NowActive JobUpdated 26 days ago - UpvoteDownvoteShare Job
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In-depth knowledge of the U.S. regulatory system in general and specifically knowledge of CFTC, NFA, FINRA, and SEC rules and regulations applicable to swap dealer and broker dealer and FED rules applicable to banks.
Full-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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Position Overview: As the Vice President of Compliance Monitoring & Testing, you will be responsible for ensuring compliance with regulatory requirements and internal policies across the investment bank, Sales & Trading, Broker-dealer, and swap dealer functions.
$160,000 - $185,000 a yearFull-timeExpandUpdated 2 months ago - UpvoteDownvoteShare Job
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5-7+ years of U.S. broker-dealer compliance expertise monitoring equity sales, trading, research and investment banking. Our client, a prestigious Broker-Dealer, seeks a Compliance Officer for their midtown NYC office.
ExpandApply NowActive JobUpdated 21 days ago - UpvoteDownvoteShare Job
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Providing primary legal support to Merrill's broker-dealer sales and trading businesses for Equities and Fixed Income. Experienced Capital Markets Attorney to support the retail sales and trading broker-dealer activities of Merrill Lynch's Global Wealth and Investments Solutions group.
$170,000 - $228,600 a yearFull-timeExpandUpdated 5 months ago - UpvoteDownvoteShare Job
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Assisting in drafting CCO annual compliance reports for the CFTC Swap Dealer and SEC Security-Based Swap Dealer and presenting report to senior management. 5+ years’ experience in and knowledge of SEC Security-Based Swap Dealer, CFTC & NFA swap dealer regulations.
$160,000 - $235,000 a yearFull-timeExpandApply NowActive JobUpdated 9 days ago - UpvoteDownvoteShare Job
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The CFO is looking for a Head of Swap Dealer Regulatory Reporting to build out a team to manage all financial reporting, reg requirements for CFTC along with monitoring all OTC derivative trade reporting as well as building out a team.
ExpandApply NowActive JobUpdated 1 month ago - UpvoteDownvoteShare Job
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Specific experience in the Markets and/or Treasury disciplines (i.e., FX Sales and Trading, Interest Rate Derivatives, equities, credit, securitized products) and Swap Dealer / Broker Dealer regulation are highly desirable, preferably within the associated areas of operations, risk management, regulatory environment, or internal audit.
$131,000 - $170,000 a yearFull-timeExpandUpdated 26 days ago - UpvoteDownvoteShare Job
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SWS is a named dealer on more than 40 commercial paper programs, a perennial leader as a co-manager of investment-grade corporate debt, a national leader in public finance investment banking, and a seasoned and successful share repurchase agent.
$175,000 - $200,000 a yearFull-timeExpandApply NowActive JobUpdated 21 days ago - UpvoteDownvoteShare Job
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A successful candidate will be a key contributor to the development of multiple solutions, primarily merging an existing Broker Dealer to Fiserv DNA from Fidelity, FIS while ensuring flexibility, scalability, security, data quality, and regulatory compliance for the financial products and services offered by Signature / Flagstar Bank.
Full-timeExpandApply NowActive JobUpdated 15 days ago - UpvoteDownvoteShare Job
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DCMA is a New York-based registered securities broker-dealer, a futures commission merchant, a primary dealer of U.S. Treasury securities, and a member of the New York Stock Exchange and other major U.S. exchanges.
$205,000 - $235,000 a yearFull-timeExpandUpdated 26 days ago - UpvoteDownvoteShare Job
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Acts as the Chief Compliance Officer for the U.S. broker dealer and Head of Corporate Functions Compliance, The role will lead and oversee the Markets Compliance and Corporate Functions Compliance teams in the United States.
$174,700 - $286,000 a yearFull-timeExpandUpdated 1 month ago - UpvoteDownvoteShare Job
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8+ years with CFTC Swap Dealer Regulatory Reporting. Ensure compliance with all swap dealer financial regulatory requirements (ie CFTC, NFA). Title: Head of Swap Dealer Regulatory Reporting.
$230,000 - $260,000 a yearFull-timeExpandUpdated 2 months ago - UpvoteDownvoteShare Job
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As the Broker Dealer Compliance Director (CCO BD), you will oversee the Markets Compliance, Corporate Compliance and Investment Bank/Research Advisory team. A minimum of 15 years of institutional broker-dealer regulatory experience and at least 5 years of experience managing an advisory compliance team supporting trading and/or investment banking businesses.
$240,000 - $280,000 a yearFull-timeExpandUpdated 1 month ago
dealer job in New York, NY
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