- BMO Financial Group (New York, NY)
- Provides support to the repo trading desk and delivers operational processes to ensure timely and accurate processing of securities and trade ... clean downstream settlement. Provides guidance and execution in the support and booking of new strategies, and daily capture...the maintenance of appropriate governance and controls over the trade capture process. + Provides advice and guidance to… more
- CIBC (New York, NY)
- …Compliance Analyst is responsible for performing important surveillance functions to support CIBC's US Compliance program. The Compliance Analyst will 1) help ... U5, Form BD). + Performing surveillance of US broker-dealer regulatory trade reporting obligations + Performing electronic communications surveillance of US trading… more