- SMBC (New York, NY)
- …in real time as business is conducted and transactions are executed. **Role Objectives** The Broker Dealer Regulatory Governance Advisory Team within the ... and reporting. Regulatory Engagements: The Regulatory Governance Team supports SMBC's Broker - dealer entity in managing regulatory exams and… more
- HSBC (New York, NY)
- …finance, economics, or a related field + Extensive experience in a bank or broker - dealer , with a focus on equities markets, specifically equity derivatives - and ... in immigration sponsorship for this position. This position is in the Regulatory Compliance department covering the Markets & Securities Services division of HSBC… more
- Capital One (New York, NY)
- …**Program Oversight & Governance ** + Lead daily surveillance operations for both Broker - Dealer and Swap Dealer trading activities. + Oversee the ... Trade Surveillance Manager ( Broker - Dealer & Swap Dealer )...Participate in scenario testing, calibration reviews, and overall system governance . ** Regulatory & Audit Support** + Support… more
- SMBC (New York, NY)
- …frameworks - Track regulatory developments and interpret implications for swap dealer governance , reporting, and risk controls New Business and Issue ... dealer , and Nikko Risk - Lead issue governance , tracking, and compile closure packs of regulatory...estimation, documentation and internal controls). - Strong understanding of regulatory requirements applicable to Swap- Dealer , Broker… more
- SMBC (New York, NY)
- …- Track regulatory developments and interpret implications for swap dealer governance , reporting, and risk controls **Qualifications and Skills** ... entity. This role will focus heavily on issue management, governance coordination, reporting and execution of key regulatory...years of experience in risk management, counterparty risk, risk governance , broker - dealer risk, or swap… more
- TD Bank (New York, NY)
- …JD desirable but not required. + 5-7 years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or ... a team(s) of specialists/professionals providing advice, guidance and expertise on regulatory requirements and assisting business units to manage their regulatory… more
- MUFG (New York, NY)
- …to the team from planning to resolution + Identify Key Data Elements across the broker dealer entity and key regulatory reports and ensure data quality ... more details. **Responsibilities:** + As part of the Data Governance team work across various pillars of the data...personnel to determine MSIIs / audit points. Assist the broker dealer entity in correctly Identifying the… more
- GE Vernova (New York, NY)
- …compliance obligations for regulated securities transactions arranged through a registered Broker - Dealer and Financial Industry Regulatory Authority (FINRA) ... Summary** GE Vernova's Ethics & Compliance Team is seeking an experienced regulatory compliance professional that will partner with GE Vernova's Financial Services… more
- Raymond James Financial, Inc. (New York, NY)
- …and an understanding of the market standard risk management practices . Broker - dealer supervisory frameworks, retail investment platforms, and UHNW product risks ... of fifteen (15) years of financial services experience required . Experience in broker - dealer or wealth management firms preferred, especially with exposure to… more
- Wells Fargo (New York, NY)
- …and Records, RRP, etc.) + Comprehensive financial products and controls knowledge preferred ( Broker Dealer and Bank activity) + Industry relationships (eg ... decisions, system choices, system implementation + In-depth knowledge of regulatory reporting needs and Dodd-Frank, and ability to create...broker / dealer community, CCP's/DCO's, and asset class specific boards and… more
