- KPMG (Washington, DC)
- …management function, capital markets organization (Asset Management Firm/Investment Adviser, Broker Dealer , Wealth Management Firm, Swap Dealer , ... **Business Title:** Manager , Capital Markets **Requisition Number:** 118216 - 21...a career in Advisory. KPMG is currently seeking a Manager to join our Advisory Services (https://advisory.kpmg.us/) practice. Responsibilities:… more
- City National Bank (San Francisco, CA)
- …CNB Capital Markets activity is conducted under bank permissible activities, not under registered swap dealer or broker dealer activity. This role is ... *SENIOR BUSINESS CONTROL MANAGER - CAPITAL MARKETS* WHAT IS THE OPPORTUNITY?...MARKETS* WHAT IS THE OPPORTUNITY? The Senior Business Control Manager will report into the Business Control Officer of… more
- SMBC (New York, NY)
- …The role's coverage of business lines includes traditional banking (including digital bank), swap dealer and broker dealer . Product coverage includes but ... is not limited to traditional banking (deposits, loans and commitments), derivatives and money market products (Repos and Reverse repos). The Associate/VP will combine their working knowledge of liquidity risk along with their technical skills to develop… more
- Truist (Atlanta, GA)
- …in ensuring compliance with regulatory rules (Market Risk Rule, FRTB, Volcker Rule, Swap Dealer Rule Initial Margin, SCCL, etc.) and guidelines pertaining to ... programs for capital markets related regulations (Market Risk Rule, FRTB, Volcker Rule, Swap Dealer Rule, etc.). 11. Self-starter, capable of operating with… more
- Truist (Atlanta, GA)
- …align with the compliance of regulatory rules (Market Risk Rule, FRTB, Volcker Rule, Swap Dealer Rule Initial Margin, SCCL, etc.) and guidelines pertaining to ... programs for capital markets related regulations (Market Risk Rule, FRTB, Volcker Rule, Swap Dealer Rule, etc.). 9. Self-starter, capable of operating with… more
- BP Americas, Inc. (Houston, TX)
- …instruments, exposures, valuations, strategies and vernacular) + Experience with Dodd-Frank Swap Dealer regulations + Excellent presentation, oral and written ... grow as the world's leading energy company! The Compliance Manager is a key member of the Ethics &...** + The position reports to the Senior Compliance Manager and is primarily responsible for performing surveillance of… more
- Citigroup (New York, NY)
- …others responsible for providing support on oversight and governance of the US broker- dealer chain legal entities. This role reports into the Chief Legal Entity ... rules, and regulations applicable to broker dealers, registered investment advisor, swap dealers and future commission merchant business activities. + Proven ability… more
- US Bank (Chicago, IL)
- …stakeholders to implement and maintain the operational solutions necessary to support the Swap Dealer rates and commodity business. The Business Analyst will ... and Finance to deliver necessary objectives as required. - Assist Operation Manager to enhance various processes and reporting. - Define and document business… more
- HSBC (New York, NY)
- …organization + Understanding of regulatory compliance requirements applicable to the businesses + Swap Dealer and/or Broker Dealer compliance control testing ... maintain appropriate focus on own self-development. In conjunction with Team Manager , identifies and participates in approved developmental training For this role,… more
- MUFG (New York, NY)
- …(ie FX Sales and Trading, Interest Rate Derivatives, equities, credit, securitized products) and Swap Dealer / Broker Dealer regulation are highly desirable, ... and model risks. The Operational Risk Analyst reports to the Business Unit Risk Manager (BURM). The Operational Risk Analyst will play an integral role in monitoring… more
- Capco, a Wipro Company (New York, NY)
- …**What You'll Get to Do:** + Specialize in implementations to adhere to global Swap Dealer Compliance related rules and regulations + Advise and deliver change ... ensuring our clients grow, change and compete. **About the Role:** As a Program Manager within the Capital Markets team, you will advise and deliver change projects… more
- NatWest Markets (Stamford, CT)
- …+ In-depth knowledge of pre-trade client onboarding processes related to US broker-dealers, swap dealer and capital markets businesses with experience across a ... and adapt management style to suit team members and work with senior manager to effectively deliver operational processes, manage risks and problem solve + Partner… more
- Cargill (Houston, TX)
- …will influence strategic and timely decisions on credit risk to support our swap dealer business, Cargill Risk Management (CRM). CRM collaborates with customers ... experience PREFERRED QUALIFICATIONS + Master's degree + Certified financial risk manager + Certified chartered financial analyst + Knowledge and familiarity with… more
- SMBC (Jersey City, NJ)
- …with offices in London and Hong Kong. SMBC CM is an established derivatives dealer with a broad product portfolio, with specific emphasis on interest rates and ... experience in Azure Cloud Development + Familiar with Azure Manager Identity + Experience on Azure Storage accounts +...+ Experience in the financial industry and/or Interest Rate Swap industry is a plus **Additional Requirements** D&I Commitment… more