Cftc jobs in United States

Entity: Strategy, Sustainability & Ventures Job Family Group: Ethics & Compliance Group Job Description: About us Our purpose is to bring together people, energy and markets to power and navigate a changing world. In a time of constant change and possibility we need new talent to pursue comm...

Entity: Strategy, Sustainability & Ventures Job Family Group: Ethics & Compliance Group Job Description: Our purpose is to bring together people, energy and markets to power and navigate a changing world. In a time of constant change and possibility we need new talent to pursue commercial oppo...

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. Natixis seeks ...

Currently partnered with an established growing broker dealer that is seeking a strong. Swap Dealer Compliance Associate. The ideal candidate will have a strong compliance background from a Broker-Dealer and a deep understanding of NFA, CFTC, and Dodd Frank Title VII SEF regulations. SEF, Introdu...

Regulatory Transaction Reporting in CFTC/EMIR/MIFID jurisdiction AND should have good working experience with OTC derivative products with any OOP language OR 2yrs minimum python programming language (not as scripts). Strong Python experience in a development facility like SecDB or Athena. ...

Title: Director, Senior Counsel, Swap Dealer SME Title: Director, Senior Counsel, Legal Department Swap Dealer. Provide guidance and direction to business lines and corporate and control groups with respect to CFTC and SEC Swap Dealer regulations. Support various groups in connection wit...

IQEQ works with managers in multiple capacities ranging from hedge fund, private equity fund, and mutual fund launches; private equity fund administration; advisory firm set-up, regulatory registration and infrastructure design; ongoing regulatory compliance (SEC, CFTC, and 40 Act); financial con...

Company DescriptionIQEQ is a preeminent service provider to the alternative asset industry. IQEQ works with managers in multiple capacities ranging from hedge fund, private equity fund, and mutual fund launches; private equity fund administration; advisory firm set...

Position Title: Counsel/Senior Counsel, Regulatory Affairs (position title and compensation is commensurate with experience) Location: Washington, DC (Hybrid) Reports to: Executive Vice President and Managing Director, Chief Counsel, Head of Global Regulatory Affairs Company Background: MFA, base...

Come work in a startup like environment (small team, big challenges, massive growth opportunity, relaxed office culture) with solid company stability (30+ years) and benefits including health, paid holidays, 401K, PTO, remote work friendly and great office views. Together with our 200+ university...

Internal Audit Manager – Broker-Dealer About the area: Internal Audit is a global area of over 700 people with a multidisciplinary, dynamic and flexible team of professionals whose knowledge and expertise covers all the organization’s areas and activities in multiple countries. As the third line ...

Help with applicable CFTC risk assessments, rule impact analysis, testing controls, etc. * Assist in gathering and analyzing compliance metrics and reporting to senior management * As needed, work ...

You will advise investment managers and broker-dealers with respect to investment advisory agreements, CFTC and NFA matters, and marketing and advertising issues. You will have experience negotiating ...

We are seeking a mid-level Data Analyst with a robust background in financial data analysis within the purview of CFTC-regulated entities, encompassing SDRs, SEFs, DCOs, and DCMs, with a particular ...

The role will be responsible for various operational requirements surrounding hedge fund regulatory compliance reporting. This includes, but is not limited to, SEC Form PF, CFTC Form CPO-PQR, EU ...

... SEC, CFTC, and 40 Act); financial controls and operational support services; compliance and ... Prepare and manage 1099 and 1042 reporting. * Prepare and manage FBAR filings. * Prepare and manage ...

... years post-JD experience (not including clerkships) and who have experience handling SEC ... Experience in regulatory (e.g., the SEC, CFTC) or criminal (e.g., DOJ, a USAO, District Attorney ...

Regulatory Reporting/Filings: Play a key role in managing/processing filings in accordance with ... Strong knowledge of US registration rules and regulations, especially those of the SEC, FINRA, CFTC ...

In-depth knowledge of market risk, credit risk, and liquidity risk are required. This role is ideal for someone who has in depth risk-stripe knowledge with experience covering valuation risk adjustments in derivatives, and regulatory interaction (FRB, CFTC, NFA, FINRA). Develop risk framework and...

IQEQ works with managers in multiple capacities ranging from hedge fund, private equity fund, and mutual fund launches; private equity fund administration; advisory firm set-up, regulatory registration and infrastructure design; ongoing regulatory compliance (SEC, CFTC, and 40 Act); financial con...

Creating and developing Knowledge Share documentation on regulatory topics related to broker-dealers. Understanding of other relevant SEA, CFTC, FINRA, and/or NFA rules pertaining to broker-dealer reporting requirements. Proficiency in AxiomSL Broadridge, and/or other relevant broker-dealer back-...

The Major International Bank is expanding its team and seeking a Market Risk Management Specialist. This role oversees a Market Risk Governance framework, ensuring compliance with regulatory requirements such as CFTC, NFA, FRB, and FRTB. Key responsibilities involve risk oversight and analysis fo...

Swap Dealer Compliance seeks a Compliance Officer to advise internal stakeholders on implementation and development of CFTC, NFA and SEC swap dealer requirements, including developing relevant compliance program elements including policies and procedures, training, risk assessments, issues manage...

IQEQ works with managers in multiple capacities ranging from hedge fund, private equity fund, and mutual fund launches; private equity fund administration; advisory firm set-up, regulatory registration and infrastructure design; ongoing regulatory compliance (SEC, CFTC, and 40 Act); financial con...