- 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
- SMBC (Jersey City, NJ)
- …knowledge of US regulatory rules, including capital requirements across banking, broker / dealer , and swap dealer entities. + Review and challenge ... issues involving our New York Branch, Bank Holding Company, broker / dealer , swap dealer and other...obligations to build firm-wide awareness and expertise. + Ensure governance and control standards are met for regulatory… more
- SMBC (Jersey City, NJ)
- …expert in the Regulatory Reporting Automation for BHC, Branch, Liquidity or Broker Dealer regulatory reports. This position will provide leadership to ... but not limited to reports such as the FRB reports, knowledge of broker - dealer reporting, liquidity reporting, etc.) + Experience in capital markets asset… 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
- JPMorgan Chase (Jersey City, NJ)
- …as well as regulatory or audit best practices relating to US Broker Dealer regulations, rules, and laws. CCOR provides independent oversight of the ... rulemaking and ensure industry developments are socialized appropriately in governance forums. + Provide effective challenge and guidance on...the Compliance Program established to support a broker - dealer . + Monitor and act upon regulatory … 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
- CGI Technologies and Solutions, Inc. (Jersey City, NJ)
- …role:** . 10+ years' experience in the capital markets financial industry (Bank/FBO/ Broker Dealer ). . Extensive experience with Adenza/Axiom Controller View ... **Business Analyst - Regulatory Reporting** **Category:** Business Analysis (functional and technical) **Main location:** United States, New Jersey, Jersey City… more
