- HSBC (New York, NY)
- …responsibility for advising business and support functions on swap dealer and security - based swap dealer regulations. The Swap Dealer ... across multiple regions on Futures Commission Merchant, Swap Dealer and Security - Based Swap Dealer requirements, including in the areas of trade… more
- Insight Global (Salt Lake City, UT)
- …Experience handling swaps and other derivative products * Experience working with SEC approved Security - based swap dealers (SBSD) or major security - ... Job Description Insight Global is seeking an Internal Audit Swap Dealer Associate to work for one of the world's premier financial institutions in Salt Lake… more
- CIBC (New York, NY)
- …13 and 16 of the Securities Exchange Act, Section 5 of the Securities Act, the " Swap " and " Security - Based Swap " Rules under Dodd-Frank, Reg M, Rules ... the Exchange Act, FINRA and CFTC rules and regulations, broker- dealer regulations, and Dodd-Frank Title VII provisions as applied...- $260,000 for the New York, New York market based on experience, qualifications, and location of the position.… 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, ... and $180,000.00. The specific salary offered to an applicant will be based on their individual qualifications, experiences, and an analysis of the current… more
- Bloomberg (New York, NY)
- …post-trade, we also guide customers who integrate into our FIX & SFTP- based workflows for trade reconciliation, allocation, matching, derivative clearing, and trade ... both buy-side and sell-side implementations covering equities, futures, and options- based products. You'll ensure that customers' e-trading and post-trade… more