- Morgan Stanley (New York, NY)
- …employer committed to diversifying its workforce (M/F/Disability/Vet). **Job:** **Other* **Title:** * Trade Transaction Regulatory Reporting Director* ... skills required for this role - Strong knowledge on multi jurisdiction regulatory reporting , exception investigation, material economic terms investigation and… more
- Citigroup (New York, NY)
- …with Financial Planning & Analysis + Business Management experience a plus + Global transaction banking and/or Trade solutions related experience a major plus + ... Trade and Working Capital Solutions (TWCS) within the...Operations, Technology and Risk & Controls to resolve P&L reporting issues, identify root causes, implement permanent solutions and… more
- JPMorgan Chase (New York, NY)
- …Operations process (including the key elements such as confirmations, settlements, and regulatory reporting ) and facilitate issue resolution across teams. + ... and recognize the impact of the actions of the Trade support team on these areas. + Must have...similar role within a financial institution. + Familiarity with regulatory requirements and compliance in trading operations. + Advanced… more
- Citigroup (Queens, NY)
- … Regulatory Capital Policy Group ("RCPG") within Finance's Capital and Regulatory Reporting Interpretive Office covering Basel III Endgame, Banking Book ... Key stakeholders include Risk Management, Accounting Policy, Legal, Product Control, Regulatory Reporting , and the business. + Participate in cross-functional… more
- Citigroup (New York, NY)
- …gain understanding + experience in production and design of operations and regulatory reporting , KPIs, metrics and data management including associated controls ... external subject matter experts to design and produce key operational and regulatory Reporting , Metrics and management information solutions, including robust… more
- Scotiabank (New York, NY)
- …presence provides our clients an important bridge to this key global market for trade and investment flows across the Americas and the world. Global Banking & ... and COO areas coverage, requiring an individual with a good understanding of regulatory requirements and controls landscape within Global Banking & Markets (GBM). As… more
- Morgan Stanley (New York, NY)
- …SEC Regulations - Reg NMS, Reg SHO, Consolidated Audit Trai (CAT), FINRA Rules, trade reporting , best execution, SEC Rules 605/606 reporting , riskless ... might help to structure a complex and sensitive cross-border transaction ; advise on a new product introduction; develop a...firm from sanctions with policies and procedures that meet regulatory requirements around the world. They also strive to… more
- SMBC (New York, NY)
- …as well supporting settlement, trade support, and internal as well as regulatory reporting . The position requires an in-depth understanding of the new issue ... form of identifying duplicate orders among other tasks, facilitating hedges, booking/matching trade tickets, booking P&L, reporting to various parties including… 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
- 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
- SMBC (New York, NY)
- …framework. The ideal candidate will have extensive experience in financial risk management, transaction banking and regulatory compliance, with a strong focus on ... the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE:...procedures are conducted in line with agreed controls and regulatory requirements Work closely with various departments, including Risk… 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 activities adhere to all… more
- Citigroup (Queens, NY)
- …Citi's Regulatory Capital Policy Group ("RCPG") within Finance's Capital and Regulatory Reporting Interpretive Office covering a broad range of Basel ... Key stakeholders include Risk Management, Accounting Policy, Legal, Product Control, Regulatory Reporting , and the business. + Participate in cross-functional… more
- Scotiabank (New York, NY)
- …+ Knowledge of relevant SEC and FINRA rules and regulations including transaction reporting , best execution, market access, Consolidated Audit Trail (CAT) ... presence provides our clients an important bridge to this key global market for trade and investment flows across the Americas and the world. Global Banking &… more
- SMBC (New York, NY)
- …securities and other laws and regulations to create policies, procedures and reporting that reduce regulatory risk. Communicate analytical data effectively. ... the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE:...maintain thresholds, at-risk levels, and exposure limits. Prepare periodic reporting to analyze positions, compare to thresholds, and ensure… more
- Citigroup (New York, NY)
- …colleagues use, defending the firm from cyber-attacks, and processing every loan, transaction , trade , and customer request that comes into the firm. ... organization and oversees Controls, Analytics and Decision Management, Quality Assurance, Regulatory Management, Data and Transformation for Technology, as well as… more
- Citigroup (New York, NY)
- …colleagues use, defending the firm from cyber-attacks, and processing every loan, transaction , trade , and customer request that comes into the firm. ... organization and oversees Controls, Analytics and Decision Management, Quality Assurance, Regulatory Management, Data and Transformation for Technology, as well as… more
- Bank of America (New York, NY)
- …evaluation and research on different use cases and scenarios for the trade surveillance - market disruption, market manipulation, financial or regulatory ... with the modeling team to provide market structure and regulatory expertise to build surveillance models. . Participate in.... Works in the development, execution, and enhancement of reporting to allow Risk and business partners to effectively… more
- Citigroup (New York, NY)
- …+ Ensure adherence to all internal policies and compliance to legal and regulatory requirements. + Process all client transactions and respond to all inquiries, from ... fraudulent transactions. + Take ownership of client investigations (eg, statement reporting issues and pricing inquiries) and collaborate with operational and middle… more
- Citigroup (New York, NY)
- …from trading desks and branch offices in coordination with the Operations - Transaction Services team. The overall objective of this role is to ensure the ... and ensuring the teams have effective risk management and regulatory processes in place. This role requires a strategic...Manage complex and variable operations related issues (eg across trade booking / settlement / confirmations / etc.), define… more