? The UBS Swap Dealer Regulatory Governance Team is looking for an experienced compliance professional to: assist in the... Regulatory Governance Team is also responsible for the development, maintenance, and execution of our Swap Dealer testing program...
Objectives The Broker Dealer Regulatory Governance Advisory Team within the CPAD Advisory Function provides centralized... coordination, governance and reporting. Regulatory Engagements: The Regulatory Governance Team supports SMBC's Broker-dealer...
control identification to comply with regulations (e.g., Swap Dealer recordkeeping, SEC and FINRA WORM compliance, FRB/OCC... of benefits to its employees. Role Description The Director, IT Functional Control Officer (FCO) for Capital Markets/Nikko...
. Basic Qualifications: Bachelor's degree Experience as broker dealer Chief Compliance Officer or lead compliance director...: Experience or exposure to Swap Dealer Compliance programs. Ability to work in a fast-paced environment with professionalism...