City (Hybrid) Impact Your expertise in financial management will directly impact the Swap Dealer's ability to navigate... with the Swap Dealer's goals and objectives. Budgeting and Forecasting: Oversee the preparation of budgets, forecasts...
Trade Surveillance Manager (Broker-Dealer & Swap Dealer) About the Role We are seeking a highly skilled Trade... Surveillance Manager to lead and enhance the firm's surveillance program across both its institutional Broker-Dealer (BD) and Swap...
at a broker dealer and or swap dealer preferred. BA/BS required. JD Preferred. Series 7, 24, 79 a plus. SMBC's employees... offers a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance. The Group...
across Combined U.S. Operations (CUSO), the SMBC Capital Markets Swap Dealer, and Nikko Securities America's Broker-Dealer entity...: Risk Governance: - Support all market risk governance obligations under CFTC Swap Dealer rules, including Risk Management...