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... Objectives The Broker Dealer Regulatory Governance Advisory Team within the CPAD Advisory Function provides centralized...