- CIBC (New York, NY)
- …+ Assist with the tracking and organization of surveillance metrics of various regulatory reporting obligations, including: CAT , TRACE, LOPR, Swap Dealer ... business processes in order to enhance operational efficiency and effectiveness of the regulatory reporting regime. **How You'll Succeed** + The ideal candidate… more
- CIBC (New York, NY)
- …Unregistered Offerings; + Providing ongoing advisory services and monitoring of CIBC's regulatory reporting , including, but not limited to, Short Interest ... SEC, FINRA, and all other relevant SRO (eg Cboe) regulatory rule requirements through proactive engagement and advisory services...Reporting , EBS, LOPR (OTC & Listed), CAT NMS (upon go-live) and Section 13 Filings. +… more