Head of Swap Dealer Regulatory Reporting

Title: Head of Swap Dealer Regulatory ReportingOffice Status: Hybrid 2x a week in Jersey CitySalary: $250,000 Base + BonusWe’re representing a multi-billion-dollar tech-driven investment firm. Launched in 2018 and now publicly traded (their stock price is up over 40% over the past year – over $5b AUM) they specialize in trading and strategic advisory...

We are looking for **Vice President - Compliance Independent Testing Examiner Volcker & Swap Dealer** **Level of experience** **Location** **Business Overview:** Demonstrate the firms commitment to compliance by maintaining a compliance testing review program that evaluates the firms compliance with applicable laws and regulations and discloses violations...

We are looking for **Vice President - Compliance Independent Testing Examiner Volcker & Swap Dealer** **Level of experience** **Location** **Business Overview:** Demonstrate the firms commitment to compliance by maintaining a compliance testing review program that evaluates the firms compliance with applicable laws and regulations and discloses violations...

SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance. The Group has more than 130 offices and 80,000 employees worldwide in nearly 40 countries. Sumitomo Mitsui Financial Group,...

Come Work with UsAt RBC, our culture is deeply supportive and rich in opportunity and reward. You will help our clients thrive and our communities prosper, empowered by a spirit of shared purpose.Whether you're helping clients find new opportunities, developing new technology, or providing expert advice to internal partners, you will be doing work that...

Come Work with UsAt RBC, our culture is deeply supportive and rich in opportunity and reward. You will help our clients thrive and our communities prosper, empowered by a spirit of shared purpose.Whether you're helping clients find new opportunities, developing new technology, or providing expert advice to internal partners, you will be doing work that...

**Job Summary** - Prepare and file various Broker-Dealer Regulatory Reports and assist with projects and process improvement initiatives for RBC Capital Markets, LLC. - Ensure compliance with SEC, FINRA, CFTC, etc., Regulatory Reporting Requirements. **What will you do?** - Assist in all aspects of preparing the FOCUS and Supplemental Reports, i.e., SSOI,...

We are looking for **Vice President - Compliance Independent Testing Examiner Volcker & Swap Dealer** **Level of experience** **Location** **Business Overview:** Demonstrate the firms commitment to compliance by maintaining a compliance testing review program that evaluates the firms compliance with applicable laws and regulations and discloses violations...

Job DescriptionJob DescriptionBroker Dealer Reporting Control Specialist Missions• Perform all aspects of regulatory reporting level 2 control reviews:(identification of financial risk areas, walkthroughs, testing execution, communication and follow-up of improvement areas) on 15c3-1, 15c3-3, 17a-13, 17a-5, Finra 2231, customer statement, Finra 4210 etc....

SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance. The Group has more than 130 offices and 80,000 employees worldwide in nearly 40 countries. Sumitomo Mitsui Financial Group,...

Rate: $60/hourPerform all aspects of regulatory reporting level 2 control reviews:(identification of financial risk areas, walkthroughs, testing execution, communication and follow-up of improvement areas) on 15c3-1, 15c3-3, 17a-13, 17a-5, Finra 2231, customer statement, Finra 4210 etc. Propose improvements to the operational and financial control framework...

Rate: $60/hourPerform all aspects of regulatory reporting level 2 control reviews:(identification of financial risk areas, walkthroughs, testing execution, communication and follow-up of improvement areas) on 15c3-1, 15c3-3, 17a-13, 17a-5, Finra 2231, customer statement, Finra 4210 etc. Propose improvements to the operational and financial control framework...

Join SMBC Group - a Global Financial Powerhouse SMBC Group, with a rich 400-year history and headquartered in Tokyo, is a leading global financial group. With over 80,000 employees across nearly 40 countries, SMBC Group offers a wide range of financial services, from banking to leasing, securities, credit cards, and consumer finance. As part of Sumitomo...

SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance. The Group has more than 130 offices and 80,000 employees worldwide in nearly 40 countries. Sumitomo Mitsui Financial Group,...

SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance. The Group has more than 130 offices and 80,000 employees worldwide in nearly 40 countries. Sumitomo Mitsui Financial Group,...

SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance. The Group has more than 130 offices and 80,000 employees worldwide in nearly 40 countries. Sumitomo Mitsui Financial Group,...

Responsibilities: Ensuring regulatory compliant reporting, and all aspects of general ledger integrity and balance sheet substantiation Developing a good understanding of the investment bank product set and systems and how these interface into the financial reporting process Develop a sound understanding of US GAAP related to investment bank products and...

Responsibilities: Ensuring regulatory compliant reporting, and all aspects of general ledger integrity and balance sheet substantiation Developing a good understanding of the investment bank product set and systems and how these interface into the financial reporting process Develop a sound understanding of US GAAP related to investment bank products and...

Responsibilities: Ensuring regulatory compliant reporting, and all aspects of general ledger integrity and balance sheet substantiation Developing a good understanding of the investment bank product set and systems and how these interface into the financial reporting process Develop a sound understanding of US GAAP related to investment bank products and...

6-month contract opportunity at a foreign investment bank at their Jersey City office location. Hybrid 3/2 work schedule.Responsibilities:Perform all aspects of regulatory reporting level 2 control reviews: (identification of financial risk areas, walkthroughs, testing execution, communication and follow-up of improvement areas) on 15c3-1, 15c3-3, 17a-13,...