- SMBC (New York, NY)
- …+ Policies and Procedures Management + Compliance Training + Issues Management + Monitoring & Testing + Compliance Risk Assessment + Communications and ... of benefits to its employees. **Role Description** The SMBC Compliance Advisory Function resides within Compliance Department...compliance experience at a broker dealer and or swap dealer preferred. BA/BS required. JD Preferred. Series 7,… more
- TD Bank (New York, NY)
- …**Job Description:** This VP, Compliance is a key member of the TDS US Compliance Monitoring & Testing (M&T) Team, responsible for working on the ... + Assist with the development, implementation and coordination of the Compliance Monitoring program, including evaluating program design elements, analyzing… more
- Citigroup (Getzville, NY)
- …Title VII (CFTC/SEC), and Canada. The team is responsible for the NAM Swap /Security-based Swap Trade Reporting, along with the ongoing governance, oversight of ... for overseeing engagement with internal and external stakeholders, including regulators, testing teams, and internal audit, with respect to Citi's global … more
- TD Bank (New York, NY)
- …This Senior Compliance Officer is a key member of the TDS US Compliance Monitoring & Testing (M&T) Team, responsible for working on developing, ... Risk Owners to assist and show coverage alongside the Compliance testing and monitoring plan...years of experience with a registered US broker dealer, swap dealer, Global Systematically Important Bank (GSIB), or associated… more
- Mizuho Corporate Bank (New York, NY)
- …supporting Structured Equity Finance and Swaps, including: + Equity Swaps, DMA to Swap + Funding, Liquidity Management + Securities Borrow/Loan + Real Time Front ... and risk systems, and enhance operational efficiency and regulatory compliance . The successful candidate will have 10+ years of...financial technology with direct experience in Equity Financing across Swap , D1 Trading, Margin Loan, Real Time Risk… more
- Wells Fargo (New York, NY)
- …with Stochastic modeling, Model design, and performance; + Experience with Evaluation testing ; + Experience with Java; + Experience with market basic instruments ... such as swap , swaptions, cap floors, Bermudan swaptions, and exchange products;...customer relationships balanced with a strong risk mitigating and compliance -driven culture which firmly establishes those disciplines as critical… more
- Citigroup (New York, NY)
- …interest rate curves, computing single currency and cross currency asset swap spreads, optional-adjusted spreads and coupon adjusted spreads. Generate trading ... and repo and reverse repo products. Develop and maintain monitoring tools to ensure the marks and computed risks...tradable in the dynamic markets. Conduct quality control and compliance checks to ensure the accuracy and completeness of… more
- SMBC (New York, NY)
- …subsidiary of SMBC. SMBC Capital Markets, Inc. was provisionally registered as a swap dealer with the Commodity Futures Trading Commission on December 31, 2012. Our ... maintains its own middle and back-office functions, including Risk Management, Compliance , Systems, Finance, and Operations. SMBC Capital Markets, Inc Front Office… more
