Stephen Wong
- Role
- Senior Manager - Swap Dealer & Derivatives Compliance at Scotiabank
- Location
- New York, NY, US
- LinkedIn followers
- 500 followers
About Stephen Wong
Derivatives / FCM / Futures / Clearing / Commodities / Metals
Experience
Senior Manager - Swap Dealer & Derivatives Compliance
Jul 2021 — Present · New York, NY, US
Provide advice on relevant regulations and internal policies and procedures to internal stakeholders, including trading and sales personnel and key support functions Provide training and education to make employees aware of their compliance responsibilities, including conducting formal and informal compliance training, creating training and educational materials Develop new and enhanced Compliance policies, procedures, manuals and systems as the result of identified deficiencies, new or changed regulations and to enhance the overall effectiveness and efficacy of the Compliance function Assist in responding to regulatory inquiries, audits, examinations and investigations, and liaising with regulators, particularly the CFTC, NFA, CME, and ICE Assist in the completion of the annual FCM CCO report
Education
St. John's University
Master of Science, Investment Management
2010 — 2012
The Hong Kong University of Science and Technology
Visiting Student, Finance
2008 — 2008
Baruch College
Bachelor of Business Administration, Finance & Investments
2006 — 2009
Find verified contacts for anyone on LinkedIn
Unifers gives sales teams verified emails and direct dials, enriched profiles, and outreach that lands in the inbox.
Free plan included · No credit card required
This profile is compiled from publicly available professional sources. Unifers is not affiliated with or endorsed by LinkedIn. Request removal of this profile.