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The SMBC Compliance Department monitors the corporate banking, investment banking and broker dealer activities of SMBC Group and reports on the compliance risks and issues to SMBC and the Global Compliance Senior Management. Additionally, the SMBC Compliance Department works closely with the Glob...

Minimum of 10 years of direct experience in at least one of the following areas: market risk analytics, counterparty credit risk analytics, or whole-sale credit risk models Prior risk analytics experience from relevant broker-dealer firms or international banks with meaningful capital market and ...

Conduct compliance reviews of swap dealer operations to ensure adherence to regulatory requirements and internal policies and procedures. Utilize Bloomberg and other systems to gather data and execute compliance reviews. Collaborate with internal stakeholders to resolve compliance issues and impl...

Role Description SMBC's Compliance Department Americas Division is seeking a Vice President of the Compliance Monitoring and Testing team to perform testing of its broker/dealer (SMBC Nikko ...

SMBC's Compliance Department Americas Division is seeking a Vice President of the Compliance Monitoring and Testing team to perform testing of its broker/dealer (SMBC Nikko Securities America, INC). The Vice President is responsible for execution of the monitoring and testing program. This positi...

As an Analyst in the FX eTrading Middle Office (eTMO), you will play a critical role supporting the Foreign Exchange operations for the Investment Bank’s proprietary and multi-dealer electronic trading and payments platforms. ...

Reporting to the Chief Operating Officer (COO), U.Investment Management and Broker-Dealer Compliance (IMBD).The candidate will be a strategic partner to the COO and work closely with the Chief Compliance Officer (CCO) to execute IMBD Compliance’s strategic initiatives aligning these efforts with ...

This is an exciting opportunity to join our Membership Application Program (MAP).MAP is a vital program within Member Supervision, supporting FINRA’s overall regulatory mission of investor protection and market integrity.MAP serves as the “gatekeeper” to the broker dealer industry.Any person or e...

The facility is equal parts clinic and college, and boasts 24 science and care departments that emphasize the importance of the marriage of technology, treatment and research when dealing with ...

The facility is equal parts clinic and college, and boasts 24 science and care departments that emphasize the importance of the marriage of technology, treatment and research when dealing with ...

The facility is equal parts clinic and college, and boasts 24 science and care departments that emphasize the importance of the marriage of technology, treatment and research when dealing with ...

The facility is equal parts clinic and college, and boasts 24 science and care departments that emphasize the importance of the marriage of technology, treatment and research when dealing with ...

The facility is equal parts clinic and college, and boasts 24 science and care departments that emphasize the importance of the marriage of technology, treatment and research when dealing with ...

The facility is equal parts clinic and college, and boasts 24 science and care departments that emphasize the importance of the marriage of technology, treatment and research when dealing with ...

The facility is equal parts clinic and college, and boasts 24 science and care departments that emphasize the importance of the marriage of technology, treatment and research when dealing with ...

The facility is equal parts clinic and college, and boasts 24 science and care departments that emphasize the importance of the marriage of technology, treatment and research when dealing with ...

The facility is equal parts clinic and college, and boasts 24 science and care departments that emphasize the importance of the marriage of technology, treatment and research when dealing with ...

The facility is equal parts clinic and college, and boasts 24 science and care departments that emphasize the importance of the marriage of technology, treatment and research when dealing with ...

Work with management on projects dealing with media relations, business communications, success stories We are eager to hear from you if you fit the following description: * No experience is ...

Ability to apply good judgment in dealing with problem-solving and carrying out directives * 1-2 years of relevant marketing, customer service experience preferred * Excellent written, oral, and ...