including trading and sales personnel and key support functions. · Evaluate new products and activities to ensure compliance... knowledge of the U.S. regulatory system in general and specifically knowledge of SEC, CFTC and NFA rules and regulations...
financing, and other applicable financial/securities related crimes (e.g., insider trading, market manipulation), including the..., and SAR requirements General understanding of Senior Public Figures, Money Service Businesses, Wealth Management and Retail...
activities Handling and executing client transaction and general customer service requests. Prepare client reports... multiple PC lookup applications. Must have excellent PC and data input skills Prior financial trading experience Ideal...
structure, general capital markets, asset swaps trading, market risk or relevant Treasury-related functions, analytics 3+ years.... Experience in Repurchase Agreement trading in FICC, Triparty and Bilateral markets is also preferred. You will also provide...
, trading partners, and communities. This policy extends to all aspects of our employment practices, including but not limited... with applicable law. Please contact us to request an accommodation at The above is intended to describe this job's general...
related crimes (e.g., insider trading, market manipulation), including the Bank Secrecy Act (BSA), The USA PATRIOT Act..., US Treasury AML guidelines, OFAC, SEC, FINRA, FRB, FinCEN requirements, and SAR requirements General understanding of Senior...
Job description Business type Types of Jobs - General Inspection / Audit Job title Lead Auditor, Markets & Operations Contract... corporate and investment banking (e.g. lending, structure finance, trading, operations) from planning to issuance of the final...
-trading. Wins work through effective program/project management or technical services. Develops and implements business... level general project management support as necessary (e.g., financial/operational budgeting, consolidation, analysis...
school diploma or general education degree (GED). Minimum of 1 year of related operations experience or equivalent... delivers a diverse trading platform for insurance carriers as well as expanded access and niche solutions for brokers...
hoc) and general BAU functions Provide risk oversight & escalation for global FX trading business, including daily... of Enterprise Risk Management (ERM) . The Global Market Risk Group is responsible for risk oversight of State Street Markets trading...