- SMBC (New York, NY)
- …**Role Description** SMBC's Compliance Department Americas Division is seeking a VP of Swap Dealer Compliance Monitoring & Testing (M&T). The VP is responsible ... monitoring and testing reviews. This role will have coverage for SMBC's Swap Dealer operations. The candidate should have functional knowledge of applicable US… more
- SMBC (New York, NY)
- …as a business analyst in front office * Solid knowledge of broker- dealer /investment banking environment, sales & trade flows and eTrading domain experience * ... Understanding of market data, market making, and pre-trade concepts * Analytical skills to troubleshoot a variety of symptoms, diagnose problems, and test, recommend and implement solutions to technology problems * Forward thinker who seeks to improve business… more
- SMBC (New York, NY)
- …of this function will encompass SMBC Group's Americas Division, inclusive of US broker dealer and registered swap dealer ; SMBC Group's wholesale and retail ... its employees. **Role Description** SMBC Group is seeking a Vice - President for the Compliance Risk Assessment team...of this role will be on the US broker dealer and US swap dealer .… more
- MUFG (New York, NY)
- …and familiarity with Broker - Dealer and applicable regulations, such as DFA Swap Dealer , Volcker and FINRA, SEC and NASD rules. + Experience working with ... financial industry regulators, including OCC, FRB, and FINRA + Deep knowledge of risk assessment, audit methodology, and audit execution + Demonstrated proficiency in technology as required for assigned areas (MS Office, audit data analytics, etc.) + Strong… 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 business works in close collaboration with SMBC Nikko Capital Markets, Capital Markets Limited in the UK, and SMBC Capital Markets Asia, Ltd in Hong Kong to provide global coverage to SMBC's corporate, institutional, and project clients. Capital… more
- SMBC (New York, NY)
- …futures & options, etc. CM is looking to hire a Policy Governance Associate or Vice President in their Regulatory and Control Group. The group is responsible for ... York, with offices in London and Hong Kong. CM is an established derivatives dealer with a broad product portfolio, with specific emphasis on interest rates and… more
- SMBC (New York, NY)
- …options, currency futures, treasury futures & options, etc Therefore, CM is seeking a Vice President within its Risk Management Department. The role will report ... of the Dodd Frank Act, CFTC Rule 23.600, the Volcker Rule, and Swap Dealer registration requirements. Communication and Leadership 1. Excellent communication… more
- SMBC (New York, NY)
- …portfolio of benefits to its employees. **Role Description** CM is seeking a Vice President within its Risk Management Department. The role will report ... Basel SA-CCR, Dodd Frank Act, CFTC Rule 23.600, the Volcker Rule, and Swap Dealer registration requirements, SR 11-07, SR 11-10, etc.) 3. Strong knowledge of… more