- SMBC (Jersey City, NJ)
- …regulations and experience with risk and control assessments. Familiarity with securities and swap dealer laws, rules and regulations is a plus. Additionally, a ... Americas Division ("CPAD"). This role reports to the Executive Director , Head of Compliance Risk Assessment and...Cayman Branch; Canada Branch; Brazilian banking affiliate; US broker dealer and registered swap dealer ;… more
- 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, ... create and maintain a robust supervisory framework for the US registered broker- dealer and OTC derivative/ swap trading products, including: Cash Equities,… 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