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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...
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...
A Python Developer within the team must be familiar with market structure across various asset classes, including knowledge of market regulation (FINRA, SEC, CFTC, SRO rules, etc. The Python Developer will be responsible for developing and maintaining Electronic Market Making (EMM) trading platfo...
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...
A newly established and growing fund focusing on global macro strategies ($5bn+ AuM)is looking to introduce a Senior Compliance Officer into their New York team on a 4-5 month contract basis. This individual will report in the CCO, partnering closely with senior management on the continued build ...
Blackstone is the world’s largest alternative asset manager. We seek to create positive economic impact and long-term value for our investors, the companies we invest in, and the communities in which we work. We do this by using extraordinary people and flexible capital to help companies solve pr...
DescriptionBusiness Overview:BNP Paribas Securities Services incorporates several distinct, yet complementary businesses including securities lending. The Agency Lending business is seeking qualified candidates to assist in the continued development of the product in North and South America. Wit...
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 ...
Business Overview: We are conducting a search for an experienced Compliance Officer to cover the Equity Capital Markets (“ECM”) business for BNP Paribas in the Americas. The ECM team operates out of New York and executes transactions in all industries / geographies. In addition to underwriting eq...
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 ...
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...
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...
IQEQ works with managers in multiple capacities ranging from the 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); financia...
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, CFTC Swap Dealer (SD) and NFA regulatio...
Knowledge of capital markets and applicable regulations, including FX, derivatives, and securities sales and trading (OCC, SEC, CFTC, FINRA, NFA, CME. ...
Expertise in CFTC Swap Dealer and SEC Security-Based Swap Dealer rules. Plan, coordinate and execute annual testing for the CFTC Swap Dealer, Security-Based Swap Dealer, Volcker, and IB Bank Branch. Draft the CFTC Swap Dealer, Security-Based Swap Dealer, and Volcker Annualpliance reports. Experie...