- Broadridge Financial Solutions (Edgewood, NY)
- …Broadridge office Responsibilities: + Support Depository Trust and Clearing Corporation ( DTCC ) Settlement functions and related processes such as Buy-Ins, Prime ... (overseeing process and escalations) + Financial industry back office operations required, DTCC preferred + Experience on-boarding new clients is preferred + Strong… more
- Athene (West Des Moines, IA)
- …requirements, conducting unit testing, and supporting the development and maintenance of DTCC data feeds. Additionally, the Automation Analyst acts as a liaison ... support for Order Entry Platforms (Firelight, AnnuityNet, Affirm) + Responsible for DTCC data feed requirements and ongoing support + Partner with Business System… more
- US Bank (Chicago, IL)
- …supervision - Broad awareness of the Depository Trust & Clearing Corporation ( DTCC ) framework for swaps reporting, including the regulatory requirements for timely, ... including applicable laws, rule amendments, regulatory expectations, and trends, DTCC technical specifications and other industry-wide initiatives that may have… more
- ADM (Chicago, IL)
- …connected to transfer agent); liaise with Depository Trust & Clearing Corporation ( DTCC ) re stock-related matters. + Support monitoring and compliance with New York ... with external counsel, transfer agent, proxy solicitor, New York Stock Exchange, DTCC , and others; assist with invoice process for same). + Provide support… more
- US Bank (New York, NY)
- …and 45). - Broad awareness of the Depository Trust & Clearing Corporation ( DTCC ) framework for swaps reporting. - Familiarity with CGI Object Charlie, Calypso, ... including applicable laws, rule amendments, regulatory expectations and trends, DTCC technical specifications and other industry-wide initiatives that may have… more
- Ascensus (New York, NY)
- …regulations, NSCC experience, pricing, settlement, and custody + Understanding of DTCC products Fund/SERV, Networking, and Payment aXis + Proven analytical skills ... with a data-driven approach to decision-making + Excellent communication and interpersonal skills + Proven ability to thrive in a fast-paced and nimble environment; self-starter with strong performance orientation and manage multiple, competing priorities;… more
- US Bank (Chicago, IL)
- …including applicable laws, rule amendments, regulatory expectations, and trends, DTCC technical specifications and other industry-wide initiatives that may have ... a material impact on swap data reporting This position offers a hybrid/flexible schedule which means there's an in-office expectation of 3 or more days per week and the flexibility to work outside the office location for the other days. If there's anything we… more
- Broadridge Financial Solutions (Newark, NJ)
- …Treasury Operations + Experience with US treasury securities, financial clearing systems ( DTCC , FICC etc.) + CPA preferred but not mandatory + Strong understanding ... of accounting principles (GAAP/IFRS) + Analytical thinking, attention to details and problem solving skills #LI-MR1 #LI-REMOTE Broadridge associates helped us envision our Connected Workplace - a work model that allows associates around the globe, dependent… more
- NatWest Markets (Stamford, CT)
- …regulations, and securities products and compliance including knowledge of CFTC, DTCC , NFA regulation. + Some knowledge of broker-dealer and securities processes ... and business. + Excellent communication skills in interacting with regulators and stakeholders across a number of business lines and control functions. + Strong organization, written, verbal and presentation skills. + Willingness to take on additional duties… more
- NatWest Markets (Stamford, CT)
- …regulations, and securities products and compliance including knowledge of CFTC, DTCC , NFA regulation. + Knowledge of broker-dealer and securities processes and ... business. + Excellent communication skills in interacting with regulators and stakeholders across a number of business lines and control functions. + Experience in the preparation and presentation of formal written reports to management. + Experience managing… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and reconciling systems. + Technology software used in the securities industry: Bloomberg, DTCC , CTM & FIX providers (NYFIX, Sungard & Raptor). **Skill in** + ... Updating and maintaining programs and databases. + Identifying financial events that effect orders. + Monitoring trading activities for adherence to organizational policies and procedures. + Incorporating appropriate technology into the business process. +… more
- NatWest Markets (Stamford, CT)
- …regulations, andsecurities products and compliance including knowledge of CFTC, DTCC ,NFA regulation. + Good knowledge of broker-dealer and securities processes ... and business. + Excellent communication skills in interacting with non-executives, executive management, regulators, and acrossa number ofbusiness lines and control functions. + Proventrack recordin the preparation and presentation of formal written reports to… more
- NatWest Markets (Stamford, CT)
- …of broker-dealer and swap dealer experience including knowledge of FINRA, SEC, CFTC, DTCC and NFA regulation. + Knowledge of broker-dealer and swap dealer compliance ... laws, rules and regulations. + Strong interpersonal skills with the ability to work collaboratively with people at all levels of the organization. + Strong written and verbal communication skills. + A desire to learn and develop new skills and expertise. +… more
- BlackRock (Boston, MA)
- …service. + Understand operational workflow of Alternative products. + Knowledge of DTCC /NSCC Mutual fund processing and AIP processing. + Conduct on-site operational ... visits (Health checks) with key transfer agents supporting BlackRock products. + Participate in the agreement process with Contracts and Admin team to ensure operational capabilities for all supported products. + Maintain a team environment passionate about… more
- SMBC (New York, NY)
- …regions + Obtain New Issue cusips as well as applying for DTC approval via DTCC system and performing closing calls + Work with Operations, Middle and Back Office to ... ensure coordination across settlement and compliance with all FINRA and REG M regulatory filing requirements associated with Debt New Issues + Primary contact person on new issues for all various departments within the firm, including liaise between IT and… more
- Mizuho Corporate Bank (New York, NY)
- …platforms software including Bloomberg, Factset, Broadridge, iPreo, Omgeo, Fedtrade, Loanet, DTCC , etc. Workstation-class OS support (Win10) and related PC software. ... Active Directory Domain, OU's, Resource / Security Groups, User Mgt, User/Computer groups TCP/IP VLANs, static/non-static, Firewall, , Proxy, Command Prompt commands SCCM Deployments vs Computer Mgt, App volumes (good to have), end user software center… more
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