Summary: The position's responsibilities include the following: providing advisory on regulatory and product specific inquiries for the CACIB Swap Dealer and CAS USA Inc. Broker Dealer, executing special projects for global and local initiatives, and documenting and delivering global policies, procedures and training. Key Responsibilities: In collaboration with stakeholders throughout the organization, assist in the development of processes, policies, and procedures to help ensure compliance with the relevant regulatory requirements, including rules and regulations issued by the SEC, FINRA, NFA, and CFTC. Assist in executing global projects that impacts Front Office, Middle Office, Back Office, and IT functions to address compliance with SEC, FINRA, CFTC, and NFA regulatory requirements Assist in evaluating new products and activities to ensure compliance issues are identified and addressed and an appropriate compliance program is implemented, as needed. Coordinate with Compliance Testing and Surveillance teams to provide reasonable assurance that the firm is in compliance with applicable regulatory requirements and internal policies. Develop and deliver training and education to make employees aware of their compliance and regulatory responsibilities. Assist in responding to regulatory inquiries, audits, examinations and investigations. Management and Reporting: The position reports directly to the Head of Global Markets Regulatory Compliance Advisory in Americas. Key Internal Contacts: The employee will most likely interact on a regular basis with Front Office, Head Office Compliance, Middle Office, Back Office and IT support personnel. Key External Contacts: The employee may have occasion to interact with external consultants for special projects. Minimal Qualifications: Candidate must have a college degree and have graduated between the timeframe of April 2024 and June 2025 Candidate must not require Visa Sponsorship now or ever in the future (including but not limited to F1, OPT, or CPT) Candidate must be eligible to work in the U Preferred Qualifications: Familiarity with SEC, FINRA, CFTC, and NFA regulatory requirements Knowledge of financial products including swaps and derivatives (i.e., FX and Rates) and securities products (i.e., fixed income and securities lending) Knowledge of Microsoft applications Bachelors required, Masters preferred
...pioneering person - directed care. Many of our skilled nursing facilities have achieved a 4 or 5-star overall rating from the Centers for Medicare & Medicaid Services. Additionally, we have been awarded as a certified Great Place to Work for three years in a row and Modern...
...performance optimization, monitoring, and uptime for internal and public-facing web applications. Implement and manage backups, disaster recovery, and high availability configurations. Perform patch management, routine maintenance, and configuration management across...
..., we're seeking individuals with virtual teaching experience to provide personalized 1:1 or... ...Position: Teach from the comfort of your home computer, on your schedule. Flexible Availability... ...: Set your own hourly rate and negotiate based on each assignment. Tailored...
Job Type Full-time Description TITLE: BSA/AML Senior Analyst , Quality Assurance JOB FAMILY: BSA/AML DEPARTMENT: Risk Management PAY GRADE & FLSA: 7; Exempt LOCATION: Des Moines, Quad Cities, Cedar Rapids, Cedar Falls/Waterloo, Springfield/Joplin...
...fostering, cultivating, and preserving a culture of diversity, equity, and inclusion. Job Description Responsibilities: Manage maintenance of the Lakewood facility, including building, infrastructure, and equipment. Develop and implement a strong Preventive...