SWAP DEALER COMPLIANCE VP jobs in CITY OF YORK, United Kingdom

Swap Dealer Compliance, Vice President Who we are looking for Swap Dealer Compliance seeks a Compliance Officer...-Based Swap Dealer Compliance Program, including participating in SBSD implementation workstreams, coordinating the SBSD...

and applicable regulations, such as DFA Swap Dealer, Volcker and FINRA, SEC and NASD rules. Experience working with financial... or Supervision: May supervise staff during an audit engagement at the VP Level and below. Major Responsibilities: Act...

is on identification, assessment, and monitoring of key business operational risks. The Risk & Controls VP will also assist in the... and Compliance functions to manage inquiries and requests. Qualifications: · As part of the Bank’s Global Markets Risk & Controls...

Preferred Qualifications: · MBA or similar level advanced degree FINRA Registrations Required: · N/A CFTC Swap Dealer... Associated Person (if yes, NFA Swaps Proficiency Program is required): · N/A SEC Security-Based Swap Dealer Associated Person...

: Masters Degree FINRA Registrations Required: Series 63, 7/79 and SIE required CFTC Swap Dealer Associated Person... (if yes, NFA Swaps Proficiency Program is required): Not Applicable SEC Security-Based Swap Dealer Associated Person...