The Securities & Derivatives Group Manager is a senior management level position responsible for accomplishing results through the management of a team or department in an effort to process orders and transactions originating from trading d...
. Compliance with applicable rules and guidance impacting the TPRM program including OCC, FBR, FDIC, SEC, FFIEC, FINRA; in addition...
&A), SEC Reporting Team, Firmwide Regulatory Reporting & Analysis (FRRA), LOB Capital Controllers, Regulatory Capital Policy...
analysis (e.g. 6 Sigma) techniques. Product Knowledge: global markets products SEC Lending and REPO product knowledge...
reporting to various exchanges, self-regulatory organizations and the SEC. The individual in this role is primarily responsible...
exchanges, self-regulatory organizations and the SEC. The individual in this role is primarily responsible for day-to-day... organizations and the SEC. The individual in this role is primarily responsible for day-to-day operational execution to broader...
with one or more regulators (OCC, SEC, FDIC, Federal Reserve, NYSDFS) Experience communicating and interacting with one or more regulatory... agencies, including exam management and other regulatory affairs (OCC, SEC, FDIC, The Federal Reserve, NYSDFS) Demonstrated...
at or with financial services regulators (e.g., SEC, FRB, NYSDFS, CFTC, ESMA, etc.) is helpful The salary range is indicative for roles...
regulatory bodies (e.g. FINRA, SEC, CFTC). The response process includes compiling all requested documentation, analyzing the...
Job Description: The AWM Mutual Fund Controllers team is responsible for overseeing numerous SEC registered...
(i.e., FINRA, SEC) Assess communications for regulatory concerns Identifies potential Compliance concerns, recommends remedial... or equivalent Knowledge of FINRA, NYSE, SEC and MSRB rules and regulations Prior experience at a securities regulator (i.e., FINRA...
will need to consider FRB, FINRA, SEC and CFTC rules, as well as internal policies. Role Objectives Timely review...
a candidate with deep knowledge and technical expertise in the implementation and maintenance of a comprehensive SEC and External... initiatives Be part of a diverse and talented team of RM&C CFO Control Managers committed to a comprehensive SEC, CCAR...
and examinations relating to DTCC's ITP business and related communications with the Securities Exchange Commission (SEC). Collaborate...
, you will be responsible for assisting branches in selling restricted/control securities pursuant to SEC regulations and insider trading rules...
with the SEC Assist in analyzing legal entity regulatory capital requirements, by closely working with the Market Risk, Credit...
and regulations (e.g., Federal Reserve Bank, NYDFS, FDIC, OCC, CFTC, NFA, FINRA, SEC, MSRB). Experience working with regulators...
) is an SEC Registered Investment Adviser that is responsible for the implementation of Investment Strategies across Bank...