Swap Dealer Regulation Controls & Operational Oversight - VP Country: United States of America Your Journey Starts... of day-to-day controls related to the Swap Dealer (e.g. Dodd Frank/EMIR/MiFid) and coverage for Broker Dealer controls...
: Experience or exposure to Swap Dealer Compliance programs. Ability to work in a fast-paced environment with professionalism..., OCC and MSRB rules and regulations with emphasis on Regulation 9, the 1940 Investment Advisors Act and the 1934 Securities...