- 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
- TD Bank (New York, NY)
- …treasury advisory services on large and complex liquidity, payments, and trade finance needs. The business constantly changes with macroeconomic conditions, ... GTB business lines continue to evolve to provide optimum trade finance, liquidity, and payment solutions to clients. GTB...to provide "One-TD" solutions to our clients **Job Description:** Reporting directly to the US Head of Origination, GTF,… more
- SMBC (New York, NY)
- …focused on providing oversight and Compliance advisory support with respect to swap transaction reporting activities. This will include acting as the main ... contact within Compliance for questions regarding swap transaction reporting , participating in related governance forums and industry groups, and partnering with… more
- Capgemini (New York, NY)
- …Project management (waterfall and agile) o Business analysis o Trade and transaction reporting o Regulatory change o Operations transformation o Process ... and controls, optimize how they leverage market infrastructure solutions and address regulatory requirements and market change, such as US Treasury Clearing and… 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
- SMBC (New York, NY)
- …team in credit, administration, marketing, execution and related data analysis and reporting relating to activities for Trade Working Capital Finance Business. ... the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE:...in quarterly and annual portfolio review and related management reporting . + Responsible for ad-hoc requests from team leader… more
- Bank of America (New York, NY)
- …manner to meet Transaction Reporting requirements + * Ensure trade bookings are compliant within existing regulatory frameworks such as Volcker CFTR, ... direct communications to CFD Trading Des + * Monitor transaction flow in various trade capture systems...Trading Assistant OR Fixed Income Operation * Excellent Excel reporting -related skills * Detail-oriented to operation trade … 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
- Tradeweb (New York, NY)
- …our compliance culture at Tradeweb + Monitor and oversee the completion of periodic regulatory reporting requirements on behalf of the compliance function + Work ... cross functional teams. You will be responsible for managing interactions with regulatory agencies to ensure compliance with applicable laws and regulations. You… more
- MetLife (New York, NY)
- …for day-to-day support for internal partners. * Provide oversight of AML transaction monitoring activities and the investigation and reporting of suspicious ... or Rejected Transaction reports and Specific License Applications) with applicable regulatory or government agencies. * Keep abreast of US OFAC and local … 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
- 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
- SMBC (White Plains, 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 ... investigation of all post-account opening and the examination of potentially unusual activities. Reporting to the FIU VP, the FIU Associate is responsible for the… 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
- 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)
- …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
- SMBC (New York, NY)
- …all necessary business practices to sell products and services and ensure smooth transaction approval and processing. + Ensure proper reporting and documentation ... 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
- Bank of America (New York, NY)
- …**:** + Optimize portfolios to meet risk appetite, management objectives, regulatory constraints, balance sheet, and earnings goals. + Estimate risk premia ... sectors of the fixed income market. + Interact with market participants through trade execution and meetings with external strategists and traders. + Price and… more