- CIBC (New York, NY)
- …surveillance metrics of various regulatory reporting obligations, including: CAT, TRACE, LOPR, Swap Dealer Trade Reporting + Manage the team's ongoing projects, ... escalatesignificantissuesandmaterialincidents of non-compliancetotherelevant Global Markets businesshead,seniorComplianceofficerand, if appropriate, head of US Global Markets forresolutionincludingrecommendationsforcorrective action +… more
- SMBC (New York, NY)
- …IRBB, 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 ... portfolio of benefits to its employees. **Role Description** CM is seeking a Director within its Risk Management Department. The role will report into the Team… more
- CIBC (New York, NY)
- …OCC and Options Exchange rule requirements; + Understanding of SEC and CFTC Dodd-Frank Swap Dealer a plus; + Strong understanding of US regulatory landscape. + ... providing real-time advisory support to the respective desk and collaborating with the Head of US Global Markets and the Regulatory Supervision team; + Providing… more