- SMBC (New York, NY)
- …well organized with project management skills. + Regulatory compliance experience at a broker dealer and or swap dealer preferred. BA/BS required. Series ... Critical Job Knowledge and Core Competencies/Skills: + Extensive Compliance Advisory experience at a broker dealer and or swap dealer . + Strong knowledge in… more
- SMBC (New York, NY)
- …the Data Governance field for a Financial Institution (eg Bank Holding Company, broker dealer , swap dealer ) with focus on: documenting data requirements ... Nikko America's Data Management and Analytics Group, the Data Governance Analyst will be primarily responsible for supporting the...role will support both SMBC Nikko Securities America, Inc. ( Broker - Dealer ) and SMBC Capital Markets, Inc. (Swap… more
- SMBC (Jersey City, NJ)
- …representative offices; Grand Cayman Branch; Canada Branch; Brazilian banking subsidiary; US broker dealer and registered swap deal; and certain non-bank leasing ... looking to hire a Financial Crime Compliance ("FCC") Program Governance Associate reporting to a VP of FCC Program...archives via SharePoint. 8. Stay abreast of the changing regulatory landscape. 9. This role may also be required… more
- SMBC (Jersey City, NJ)
- …and related internal control framework + Knowledge of securities broker dealer business, financial products and regulatory reporting (SEA 15c3-1) + Strong ... will be responsible for SMBC Nikko Securities America, Inc, a registered broker dealer , which provides intvestment securities and other financial services… more
- TD Bank (New York, NY)
- …+ **Knowledge and experience within compliance or audit, legal and regulatory environment, enterprise governance framework, products and services, policies, ... training.** + **Experience responding to client complaints within a bank or broker - dealer .** + **Experience reviewing and providing guidance on advertising and… more
- TD Bank (New York, NY)
- …training.** + **Experience responding to client complaints within a bank or broker - dealer .** + **Experience reviewing and providing guidance on advertising and ... senior management of the Bank with respect to significant regulatory compliance risk matters. + Empowered to make prudent...marketing materials for a broker - dealer /bank.** + **Prior testing, audit or business… more
- Bank of America (New York, NY)
- …law firm and/or in house at a financial company + Experience with broker dealer regulations, Prime Finance, ISDA-based OTC equity derivatives, Securities lending ... Securities Lending, Clearing and Settlement, and OTC derivatives. Provides advice on broker - dealer regulations, new and existing products or services related to… more
- SMBC (New York, NY)
- …counterparty exposure estimation, documentation, and reporting approaches) 2. Familiarity with regulatory requirements for Swap- Dealer , Broker - Dealer ... the Head of Market and Liquidity Risk. **Role Objectives: Delivery** **Committee Governance ** 1. Collaborate on developing and enhancing market risk management and… more
- Mizuho Corporate Bank (New York, NY)
- …designed to add value and improve Mizuho Bank's US operations including derivative activities, broker dealer and swap dealer businesses. Based in the New ... areas of the bank to evaluate the effectiveness of risk management and governance processes. Along with its counterparts in London, Hong Kong and Singapore, IADA… more
- Santander US (New York, NY)
- …of the US Fixed Income trading/ regulatory framework, including FINRA, SEC broker dealer regulations and other relevant bank regulations; knowledge of FRB, ... and assist in the preparation of management information reporting and governance materials; Ensure timely regulatory filings and certifications. Qualifications:… more