- 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
- SMBC (Charlotte, NC)
- …with regulations (eg, Swap Dealer recordkeeping, SEC and FINRA WORM compliance , FRB/OCC/FDIC Disaster Recovery testing ). - Prepare and present risk and ... Front Office Control Officers and AD-wide IT Control Officers. Assessments and monitoring of the control environment will be across information technology functions… 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
- Xylem (Yellow Springs, OH)
- …collaborate with development teams to resolve issues. Products include environmental monitoring /sensing, water quality, or life science biochemistry analysis for YSI ... **Planning and Strategy** + Collaborate with team members to identify testing requirements driven from the product specifications such as measurement accuracy,… 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
- Bank of America (Charlotte, NC)
- …regulatory returns for locally regulated legal entities including broker dealers, swap dealers and other legal entities. Key responsibilities include overseeing and ... requirements and effective challenge of results. + Drive identification, remediation, monitoring and escalation of issues impacting regulatory reporting as well as… 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
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