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Credit Suisse Asset Management LLC’s Regulatory Reporting Team has the responsibility for the Division’s regulatory reporting requirements, primarily in the US, including Forms PF, PQR, ADV, TIC, and FATCA/CRS and regulatory requirements in the European Union, i.e. AIFMD and MiFID II. The Team mainly covers the Dodd-Frank requirements and hedge fund and commodity pool regulations in addition to certain tax functions.
Full-timeExpandApply NowActive JobUpdated 2 days ago - UpvoteDownvoteShare Job
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File Commodity Futures Trading Commission (CFTC) and Dodd-Frank Act requirements. Initiate on-boarding of International Swaps and Derivatives Association (ISDA) agreements and negotiate Credit Support Annex (CSA) thresholds.
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Requires five (5) years of experience with: delivering presentations to senior management; working with large datasets via SQL; VBA and Python; PowerPoint; global markets and risk regulation including Basel 3 and Dodd-Frank.
$122,000 - $140,000 a yearFull-timeExpandApply NowActive JobUpdated 6 days ago - UpvoteDownvoteShare Job
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Continue to develop, implement and document compliance programs related to the Markets businesses, including those designed to adhere to US Dodd-Frank, EU / UK MiFID / MiFIR, EU / UK EMIR, EU / UK SFTR, ASIC and other relevant regulatory regimes applicable to BBH Markets and/or its clients.
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Comprehensive knowledge of banking regulations, including but not limited to Basel III, Dodd-Frank Act, Bank Secrecy Act (BSA), Anti-Money Laundering (AML), and Consumer Protection regulations. Comprehensive knowledge of banking regulations, including but not limited to Basel III, Dodd-Frank Act, Bank Secrecy Act (BSA), Anti-Money Laundering (AML), and Consumer Protection regulations.
$85,000 - $140,000Full-timeExpandApply NowActive JobUpdated 1 month ago - UpvoteDownvoteShare Job
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Strong experience with the contents and implementation of specific regulatory initiatives such as: Dodd-Frank, general consumer compliance, regulatory structure and organizations including the FRB, the CFPB, the OCC, the CFTC, FINRA, and the SEC.
$167,325 - $306,763 a yearFull-timeExpandApply NowActive JobUpdated 2 months ago - UpvoteDownvoteShare Job
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Regulatory Reporting and Compliance: MiFID I/ II, Consolidated Audit Trail (CAT), Dodd-Frank/ EMIR/HKMA/Canada. Strong experience working with Regulatory reporting such as Dodd-Frank, EMIR, Mifid2.
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Support the business in connection with its trading activities, including negotiation, drafting and review of necessary contractual documentation, and supporting the company's compliance with regulatory requirements and frameworks applicable to company trading activities, including FERC, RTO/ISO, CFTC, Dodd Frank, environmental and anti-trust requirements.
ExpandApply NowActive JobUpdated 7 days ago - UpvoteDownvoteShare Job
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Your continued employment in this position would be contingent upon compliance with Truth in Lending Act/Dodd Frank Loan Originator requirements. Equal Opportunity Employer/Disability/Veterans ABOUT THE TEAM Our Consumer & Community Banking division serves our Chase customers through a range of financial services, including personal banking, credit cards, mortgages, auto financing, investment advice, small business loans and payment processing.
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As a Systemically Important Financial Market Utility under Title VIII of the Dodd-Frank Act, CHIPS is subject to heightened supervisory oversight. Work closely with TCH Enterprise Risk Management and Legal leadership to ensure TCH products meet/exceed the highest expectations for performance, resiliency, and security.
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Knowledge of regulatory classifications across Dodd Frank, FATCA & Volcker and Markets Regulations is desirable. 6+ years' experience in financial crime (KYC/AML & Sanctions) is essential, preferably in an on-boarding / refresh role and experience in Compliance (Regulatory & Tax) is essential, preferably in an on-boarding / refresh role.
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Grandfield & Dodd, LLC, an independent NYC-based registered investment adviser, seeks an Equity Research Analyst to join our boutique firm. Founded in 2001 with less than $100 million in assets under management, Grandfield & Dodd continues to grow its business on the strength of its client relationships, many of which span multiple generations.
Full-timeExpandApply NowActive JobUpdated 1 month ago - UpvoteDownvoteShare Job
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Familiarity with broker-dealer regulation, Dodd Frank, Reg AB, CFPB, state and federal regulators, lending, bankruptcy, and with various fixed income and derivative products. Analyze and lead implementation of financial regulatory reform (Conflict of Interest, Dodd Frank, Reg AB II and other relevant regulations.
ExpandApply NowActive JobUpdated 6 days ago - UpvoteDownvoteShare Job
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Strong knowledge of US securities laws, including the Securities Act, the Exchange Act, FINRA and CFTC rules and regulations, broker-dealer regulations, and Dodd-Frank Title VII provisions as applied to swaps regulated by the CFTC and SEC.
$250,000 - $260,000 a yearFull-timeExpandApply NowActive JobUpdated 16 days ago - UpvoteDownvoteShare Job
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PURPOSESupport the Consolidated U.S. Operation (CUSO) inclusive of RBC US Group Holdings, the U.S. Intermediate Holding Company (IHC) who is subject to the Dodd Frank Regulation YY requirements.
$150,000 - $180,000 a yearFull-timeExpandApply NowActive JobUpdated 15 days ago
dodd job in New York, NY
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