A company is looking for a Chief Compliance Officer for their Swap Dealer operations.Key ResponsibilitiesLead and oversee compliance programs for Swap Dealer employees, ensuring adherence to regulationsManage a team of compliance professionals focused on SDR reporting, trade surveillance, and trade reconstructionOversee the conversion of core systems and implementation of new transaction surveillance platformsRequired QualificationsStrong understanding of Interest Rate swaps, Commodity hedging, and Foreign Exchange transactionsSignificant experience with CFTC / NFA swap dealer regulations, including SDR reportingThorough understanding of industry trends and regulatory intelligence resourcesFamiliarity with back office and transactional systemsSatisfy NFA swaps proficiency requirements
Swap Dealer Chief Compliance Officer
A company is looking for a Chief Compliance Officer for their Swap Dealer operations. ...
Compliance Officer, Securities Based Swap Dealer
The Compliance Officer for Clear Street Derivatives (“CSD”), a Securities and Exchange Commission (SEC) Securities Based Swap Dealer (SBSD), will be responsible for implementing and maintaining CSD’s compliance program for its SEC regulated SBS activities. Work closely with the Chief Compliance Offi...
Chief Compliance Officer
Reporting to the Chief Financial Officer, with additional accountability to the First Deputy Commissioner on investigative matters related to fiscal oversight or of agency-wide significance, the Chief Compliance Officer duties and responsibilities will include but not be limited to:. NYC Aging seeks...
Deputy Chief Compliance Officer
Our client, a leading investment management firm, is seeking an accomplished Deputy Chief Compliance Officer and Counsel to join their Legal and Compliance team. Position Overview - Deputy Chief Compliance Officer:. Responsibilities as the Deputy Chief Compliance Officer include:. Qualifications for...
Compliance, Swap Dealer Compliance-VCP, Associate, New York
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 management, governance and management re...
Chief Compliance Officer - Marsh McLennan Agency (MMA)
Marsh McLennan Agency (MMA) is seeking a Chief Compliance Officer (CCO) to lead its global compliance program. Reporting to the Marsh & McLennan Agency General Counsel, you will be responsible for advising senior management at MMA about risk and compliance issues, and leading a team of colleagues ac...
Chief Compliance Officer
The successful candidate will serve as the Chief Compliance Officer (CCO) and be responsible for leading all components of the compliance program for an investment advisory firm in Manhattan, which is currently registered with New York State and will register with the U. The CCO will foster a cultur...
Cyber Governance, Risk, and Compliance Analyst, Office of Chief Information Officer
Monitor compliance with cybersecurity policies and procedures within the IT environment and enforce consequences for non-compliance as necessary. Compliance: Ensure compliance with relevant regulatory requirements such as NIST (-53, -, CSF) HIPAA, PCI DSS, Directive 1, etc. Coordinate with legal and...
Temporary Executive Assistant to the General Counsel and Chief Compliance Officer
Temporary Executive Assistant to the General Counsel and Chief Compliance Officer-240171:N/A. Prior experience working with legal and compliance programs and professionals is strongly desired. Gathering, analyzing, interpreting, reporting and benchmarking legal and compliance data. ...
Fund Chief Compliance Officer - HYBRID
Fun Chief Compliance Officer - HYBRID. This position will act in the capacity of Chief Compliance Officer for certain investment company clients. Primary responsibility will be to ensure fund and service providers' compliance with Rule 38a-1 of the Investment Company Act of 1940. Oversee maintenance...