- SMBC (New York, NY)
- …inventory of issues across CUSO Market Risk and other risk stripes under the Swap- Dealer and Broker- Dealer legal entity CRO umbrella. - Track and manage ... and reporting approaches). - Understand regulatory requirements applicable to Swap- Dealer , Broker- Dealer , and Bank entities. **Communication and Leadership:**… more
- MUFG (New York, NY)
- …our operations teams and the underlying technology that powers our broker dealer settlement engine. The role demands deep expertise in trade flows, securities ... + Maintain and update operating procedures, stay current on evolving broker‑ dealer settlement rules and regulatory requirements, and ensure adherence throughout the… more
- SMBC (New York, NY)
- …in Charlotte, NC, London and Hong Kong. SMBC CM is an established derivatives dealer with a broad product portfolio focused on interest rates and foreign exchange ... products. SMBC Nikko Securities America, Inc. is an SEC-registered securities broker- dealer and member of the Financial Industry Regulatory Authority (FINRA) and… more
- TD Bank (New York, NY)
- …a plus.** + **Knowledge of current and emerging trends, including broker- dealer and RIA regulatory expectations and standards for effective compliance management ... + **Experience responding to client complaints within a bank or broker- dealer .** + **Experience reviewing and providing guidance on advertising and marketing… more
- ManpowerGroup (New York, NY)
- …services firm, is seeking an Internal Auditor to join their team. As a Swap Dealer Auditor, you will be part of the audit team supporting the swap dealing ... a strong background in auditing and regulatory compliance. **Job Title:** Swap Dealer Auditor **Location:** New York, New York (Remote) **Pay Range:** Competitive… more
- Tioga Downs Casino Resort (Nichols, NY)
- …+ Open and close games in assigned area, verifying count as provided by Dealer . + Control and direct games in progress by monitoring and providing assistance, ... each game stands with respect to player limits, special guests, gains/losses, and dealer performance. + Provide and monitor on-the-job training for Dealers to ensure… more
- Insight Global (New York, NY)
- …A global banking client is looking to hire an Internal Auditor with Swap Dealer expertise. In this role, you will master and maintain comprehensive knowledge of the ... firm's Swap Dealer compliance framework while executing end-to-end compliance audits, from...Management, or Compliance roles - Demonstrated expertise in swap dealer regulatory frameworks, including: Title VII of the Dodd-Frank… more
- Guardian Life (New York, NY)
- …standards impacting Guardian's retail wealth management business, including its affiliated broker- dealer and investment adviser entities. + Assist with the Firm's ... state insurance laws (inclusive of NAIC). + 3-5 years of broker- dealer and registered investment advisor compliance experience, experience at an insurance-affiliated… more
- TD Bank (New York, NY)
- …group responsible for delivering: . Fixed Income cash securities pricing . FI Dealer -to- Dealer order execution . FI Dealer -to-Client quoting solutions . ... FI automated execution capabilities . FI cash risk calculation . Sales technology . Trade capture and management services Position Overview Description As part of the Core Development eTrading Development Team, you will iteratively develop eTrading libraries… more
- SMBC (New York, NY)
- …the Financial Institutions Group will be responsible for Banks and Broker Dealer client coverage, including all aspects of client development, new business ... origination and execution of transactions with Banks and Broker Dealer clients + Work closely across the Private Debt...products and services relevant to the Banks and Broker Dealer clients + Knowledge of general elements of credit… more