Trade Reporting

3 days ago


Jersey City, New Jersey, United States SMBC Group Full time

The anticipated salary range for this role is between $83,000.00 and $125,000.00. The specific salary offered to an applicant will be based on their individual qualifications, experiences, and an analysis of the current compensation paid in their geography and the market for similar roles at the time of hire. The role may also be eligible for an annual discretionary incentive award. In addition to cash compensation, SMBC offers a competitive portfolio of benefits to its employees.

Role Description

SMBC Capital Markets, Inc. is a derivatives trading company which was started in 1988 and is based in New York City, with offices in London and Hong Kong. SMBC Capital Markets, Inc. is an established derivatives dealer with a broad product portfolio, with specific emphasis on interest rates and foreign exchange products such as interest & FX swaps, FRAs, options, exotic products, commodity derivatives as well as exchange traded products such as treasury bonds, interest rate futures & options, currency futures, treasury futures & options, etc.

SMBC is hiring an Associate within the CFTC Trade Reporting team. The team is responsible for ensuring the timeliness, completeness and accuracy of its CFTC Part 43/45 reporting. The associate's primary responsibility will be to ensure data quality on trades that require reporting. The candidate should have functional knowledge of derivatives and Dodd Frank regulations.

Responsibilities

Create a robust control environment where regulatory reporting issues are identified quickly and accurately Accountable for overseeing and monitoring correct reporting for regulatory reports. Developing new or enhancing existing compliance policies, procedures, manuals. Actively ensure proper mitigating controls are in place and be responsible for improving processes Must be aware of Regulatory Reporting issues and updates Should be able to highlight any control issues that are found either within the team or the wider Operations' teams that we monitor Investigating non-compliance issues and escalate to appropriate teams/individuals Regular review of data quality and system workflows to ensure compliance Perform data mapping to identify data gaps and work with business users to source the additional information required Maintain and create a continuing growing list of metrics

Qualifications and Skills

Solid understanding of at least one of the following asset class (FX, Rates, Credit) Ability to incorporate guidance from multiple sources into day-to-day workstreams  Ability to communicate complex ideas in simple terms Proficiency in Excel

Preferred Qualifications

Experience writing policies and procedures Experience in remediating Audit findings (planning and execution) Alteryx

SMBC's employees participate in a Hybrid workforce model that provides employees with an opportunity to work from home, as well as, from an SMBC office. SMBC requires that employees live within a reasonable commuting distance of their office location. Prospective candidates will learn more about their specific hybrid work schedule during their interview process. Hybrid work may not be permitted for certain roles, including, for example, certain FINRA-registered roles for which in-office attendance for the entire workweek is required.

SMBC provides reasonable accommodations during candidacy for applicants with disabilities consistent with applicable federal, state, and local law. If you need a reasonable accommodation during the application process, please let us know at accommodations@smbcgroup.com.


  • Trade Support Analyst

    3 weeks ago


    Jersey City, New Jersey, United States Infotree Global Solutions Full time

    Job title: Analyst – Trade ManagementDuration: 23 Months with possibility of extensionLocation: Denver, COJob Description:Candidates will be measured on the following four performance drivers which will dictate how individual impact is considered on the Americas platform:Results and ImpactImpacts division and influences peers and teamDemonstrates good...


  • Jersey City, New Jersey, United States Bank of America Full time

    Description : The Trade Surveillance analyst is primarily accountable for conducting "Market Conduct Trade Surveillance" which begins with computerized analyses of activities that trigger "alerts" requiring additional review to determine whether the activity was a violation of a law, rule, regulation, policy or procedure requirement related to one or...


  • Jersey City, New Jersey, United States Hudson Data Full time

    Job Title: Trade Support Analyst ILocation: Jersey City, NJ (Web Cam Interview) Duration: Long Term (W2) H1 Transfer/ GC/ CitizenJob Description: Business Overview: The Delta One & Synthetic Prime Brokerage (SPB) Trade Support team provides essential operational risk management and control, preserving and enhancing the firm's assets and its reputation. The...


  • Jersey City, New Jersey, United States Proximo Spirits Full time

    Position Summary Always on the lookout for what's next, PROXIMO builds brands and invents new products to meet the world's changing tastes and trends in memorable new ways. Proximo is a leading producer, distributor, importer and marketer of prized spirits in the United States, representing many premium brands. An integral part of the successful...


  • Jersey City, New Jersey, United States Proximo Spirits Full time

    Position SummaryAlways on the lookout for what's next, PROXIMO builds brands and invents new products to meet the world's changing tastes and trends in memorable new ways. Proximo is a leading producer, distributor, importer and marketer of prized spirits in the United States, representing many premium brands. An integral part of the successful management of...


  • Jersey City, New Jersey, United States Proximo Spirits Full time

    Position SummaryAlways on the lookout for what's next, PROXIMO builds brands and invents new products to meet the world's changing tastes and trends in memorable new ways. Proximo is a leading producer, distributor, importer and marketer of prized spirits in the United States, representing many premium brands. An integral part of the successful management of...


  • Jersey City, New Jersey, United States Lord Abbett Full time

    Company Overview:Lord Abbett is an independent firm focused on the management of money. Founded in 1929, we've earned a reputation for leadership and innovation in the asset management industry. Our people are our greatest asset, and we value intellectual curiosity, teamwork, and collaboration across the organization.We're seeking a highly motivated SMA...


  • Jersey City, New Jersey, United States eClercx Full time

    Salary RangeThe target base salary for this role is $70,000-$85,000, based on factors such as relevant experience, knowledge, skills, and geography.Job DescriptionThis role involves managing the trade lifecycle, collaborating with stakeholders, and analyzing operational reports.Eligibility RequirementsExperience in Global Exchange Traded Derivatives...


  • Jersey City, New Jersey, United States KYYBA Full time

    Job Description Job Description Responsibilities: Direct communication and interaction with clients and business partnersSubject Matter Expert in deliveries functions and processing at exchange levelManage position reporting function independentlyManage options expiration processing independentlyPhysical delivery of commodity futures productsExtensive...


  • Jersey City, New Jersey, United States Sumitomo Mitsui Financial Group, Inc. Full time

    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,...


  • Jersey City, New Jersey, United States Mizuho Bank, Ltd. Full time

    Trade Finance Letter of Credit Document Checker SUMMARY : The Letter of Credit Document Checker is responsible for the accurate and efficient examination of documents presented under letters of credit. This role requires a thorough understanding of international trade documents, UCP 600 (Uniform Customs and Practice for Documentary Credits), ISBP...


  • Jersey City, New Jersey, United States Lord Abbett Full time

    The Role: About Lord Abbett: Founded in 1929, Lord Abbett is an independent firm with a singular focus on the management of money. Over the course of our history, weve earned a sterling reputation for our leadership, influence, and innovation in the asset management industry. Today, our independent perspective, our commitment to active management, and our...


  • Jersey City, New Jersey, United States Lord Abbett Full time

    The Role: About Lord Abbett: Founded in 1929, Lord Abbett is an independent firm with a singular focus on the management of money. Over the course of our history, weve earned a sterling reputation for our leadership, influence, and innovation in the asset management industry. Today, our independent perspective, our commitment to active management, and our...

  • Management Reporting

    3 weeks ago


    Jersey City, New Jersey, United States SMBC Full time

    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,...

  • Management Reporting

    3 weeks ago


    Jersey City, New Jersey, United States SMBC Full time

    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,...


  • Jersey City, New Jersey, United States Jefferies Full time

    Job SummaryThe Head of US Swap Data Reporting will oversee the implementation of regulatory requirements for Jefferies Financial Services, Inc. This includes ensuring compliance with CFTC and SEC regulations, managing trade reporting exceptions, and collaborating with cross-functional teams to design and implement workflows and systems for new legislative or...


  • Jersey City, New Jersey, United States Lenmar Consulting Full time

    We are looking for a highly skilled Compliance Expert to lead the Swap Trade Reconstruction process and propose improvements for efficiency and compliance. The ideal candidate will have extensive knowledge of financial regulations and be able to collaborate with Compliance, Legal, and Business Units to manage records management policies and operational...


  • Jersey City, New Jersey, United States Proximo Spirits Full time

    Sr. Education Lead Trade Marketing Manager is responsible for developing and executing a national trade advocacy strategy that enhances brand awareness, drives sales, and strengthens relationships within the hospitality and spirits industry. A core priority of this role is ensuring the Proximo Ambassador Program effectively delivers on sales growth (60%)...


  • Jersey City, New Jersey, United States DTCC Full time

    Company OverviewDTCC is a leading provider of post-trade services, processing over 100 million financial transactions every day. We are dedicated to helping our employees grow and succeed in a dynamic and supportive work environment.About the TeamThe Human Resources team is a strategic partner to the business, managing DTCC's human capital initiatives and...


  • Jersey City, New Jersey, United States SMBC Full time

    Company OverviewSMBC Group is a leading global financial institution with a rich history spanning 400 years. Headquartered in Tokyo, the Group offers a wide range of financial services, including banking, leasing, securities, credit cards, and consumer finance. With over 130 offices and 80,000 employees worldwide across nearly 40 countries, SMBC Group has...