- HSBC (New York, NY)
- …and swaps-related regulations, and associated regulatory initiatives where it relates to trade and transaction reporting + Assist in managing the ... we all share. You will manage the OTC Derivatives Trade and Transaction reporting team,...facing regulators (CFTC, NFA etc.) and providing response to trade reporting regulatory exams and… more
- Citigroup (New York, NY)
- Transaction Management will be responsible for supporting multiple aspects of the lending lifecycle including but not limited to loan closing and servicing ... not limited to corporate, commercial, real estate, structured lending and trade . + Create processes, standards, procedures, controls, training, and implementation of… more
- Santander US (New York, NY)
- …defense role for the bank across all risks: Financial/ Credit, Legal, Reputational, Regulatory , Compliance, etc. + Reporting to senior management regarding the ... Global Transaction Banking Product Specialist - VP New York,...identify new customer prospects. Essential Functions/Responsibilities: + Market GTB trade products (Receivables, SCF, Structured Trade , Letters… more
- TD Bank (New York, NY)
- …matter expertise/analysis on operational processes as a key resource/representative for the Trade and Transaction reporting function + Identify, document, ... training within own team and other teams globally within Trade and transaction reporting +...of Global Markets, Risk/Compliance Operations, and/or regulatory reporting experience + Subject matter expertise within transaction… more
- TD Bank (New York, NY)
- …Department Overview: The Global Compliance Department is responsible for overseeing regulatory compliance across TDBG in accordance with the Global Compliance ... Operating Framework. The team is accountable for promoting regulatory compliance by developing and maintaining compliance programs, including identifying and… more
- TD Bank (New York, NY)
- …US Compliance team is looking for Vice President candidates to join the trade surveillance team. Preferred 5-10 years of experience in surveillance of either Fixed ... a team(s) of specialists/professionals providing advice, guidance and expertise on regulatory requirements and assisting business units to manage their regulatory… more
- TD Bank (New York, NY)
- …TDS US Compliance team is looking for Vice President to join the trade surveillance team focused on Communications. Preferred 5-10 years of experience in ... a team(s) of specialists/professionals providing advice, guidance and expertise on regulatory requirements and assisting business units to manage their regulatory… more
- TD Bank (New York, NY)
- …and take actions when needed. + Preparing materials for committee meetings and regulatory requests. + Assisting other members of the team with ad-hoc requests as ... markets industry including products and services. + Technical background in regulatory frameworks (Basel Committee on Banking Supervision, Federal Reserve, Office of… more
- TD Bank (New York, NY)
- …registrations must be obtained prior to engaging in any transaction ; product, geographical location, supervisory responsibilities, and client interactions must ... and/or control functions and ensures alignment with enterprise and/or regulatory requirements. Executes trades with approved counterparties and within approved… more
- TD Bank (New York, NY)
- … regulatory compliance by developing and maintaining a comprehensive trade and communications surveillance program, including identifying emerging risks, ... leadership qualities, and the ability to drive strategic initiatives in a complex regulatory environment. Key Responsibilities: + Reporting : With the Global Head… more
- SMBC (New York, NY)
- …Group, which is one of the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges. In the ... to its employees. **Role Description** Grounded in an understanding of the Transaction Banking business, the candidate will support the cash management products and… more
- Scotiabank (New York, NY)
- …culture. **Senior Manager, US GTB Product Control - New York, NY** Global Transaction Banking (GTB) is the payments and transaction engine of Scotiabank. ... conducted are in compliance with governing regulations, internal policies and procedures. Reporting to the Director, US Head of Product Control, the incumbent is… more
- TD Bank (New York, NY)
- … trade control codes are captured to facilitate downstream operations and regulatory reporting processes accurately and efficiently. **Depth & Scope:** + ... facilitate liquidity needs and raise funding accordingly to meet regulatory and internal requirements + Lead the development of...of assignments. The Analyst Sales & Trading also Inputs trade details into trade capture systems as… more
- BMO Financial Group (New York, NY)
- …to achieve and sustain its risk-based compliance with applicable laws and regulatory requirements. CMS tests that the First Line of Defense responsibilities outlined ... in the Legal Regulatory Compliance Risk Management (LRCRM) Policy, the Enterprise Compliance...Organization and is specifically responsible for the monitoring of trade floor activities and ensuring these activities adhere to… more
- Citigroup (New York, NY)
- …environment + Compliance and regulatory experience (knowledge of client and transaction reporting ) + Bachelor's Degree required MBA/CA would be preferred + ... is a market leading, award-winning provider of cash management, cards and trade , solutions to financial institutions, public sector and corporate clients around the… more
- Citigroup (New York, NY)
- …operating more efficiently and effectively. Advise leadership on treasury and trade solutions involving business reviews, external client pitches for transaction ... fixed and variable costs. Manage databases relating to financial reports, regulatory reports, global human resource maps, organizational charts, and technology… more
- SMBC (New York, NY)
- …conditions and risk appetite. Calculate counterparty exposures and potential losses for regulatory reporting including capital adequacy. Perform testing / due ... Group, which is one of the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges. In the… more
- JPMorgan Chase (New York, NY)
- …+ Experienced in operational audit and compliance preferred + Experienced in regulatory capital calculation and reporting infrastructures + exposure to ... Liquidity Policy, you will help to interpret and provide guidance on US regulatory capital and liquidity rules for current, pending, and proposed strategic business… more
- BMO Financial Group (New York, NY)
- …to achieve and sustain its risk-based compliance with applicable laws and regulatory requirements, and to ensure that the First Line of Defense responsibilities ... outlined in the Legal Regulatory Compliance Risk Management (LRCRM) Policy, the Enterprise Compliance...Organization and is specifically responsible for the monitoring of trade floor activities and ensuring these activities adhere to… more
- TD Bank (New York, NY)
- …competing priorities. Liaising with Legal, Compliance, Credit, Technology, Tax, Insurance, Regulatory Reporting and relevant external bodies may be required ... industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions. In 2023, we acquired Cowen Inc., offering our… more