in the cross training program Qualifications - Bachelor’s degree required; Accounting or Finance degree. - 5+ years of relevant work experience in SEC broker dealer regulatory capacity or a background in broker dealer audit and examinations is highly preferred. - Working knowledge or prior experience
for the Broker-Dealer entities • Maintain, enhance and control of the group’s FX exposure management system (UFX) in conjunction with Technology • Identify opportunities to streamline work processes to enhance controls and increase efficiency • Dealing with queries relating to the day-to-day hedging and control process
the Cash Equities department. This includes but is not limited to Broker Dealer activity in Euroclear and ASPAC markets. To provide transactional processing support for the respective products and day to day management of trade settlements.Provide feedback around ways to increase STP and to ensure
Job Description Position Title: Senior Analyst Grade/Level: C11 Business Group: ICG Function/Group: Risk/FIRM Location: Mumbai Role and Responsibilities Business/Department Objectives: Key focus will be the assessment of individual client and industry risks and providing support to the NY, India
of the four Operations Team Leads. Responsibilities · Position involves the complete process around regulatory/non regulatory internally directed Enterprise-wide searches of our accountholders and their transactions looking for known or suspected money launderers, terrorists or drug dealers. · Work through
of various Broker/Dealer processes• The successful individual will also be given the opportunity to get involved in project work and support of key corporate initiatives Qualifications Knowledge/Experience: • An understanding of The Corporate Treasury business would be highly beneficial • The candidate
Information about JPMorgan Chase & Co. is available at www.jpmorganchase.com. Dealer Commercial Services is a commercial lending unit within the Card, Merchant Services, and Auto Finance Line of Business. We specialize in lending to new car dealers in the US with sales ranging from small business to public
industries. Provide a detailed Presentation/ Risk Score Tracker to the client on the overview of the project indicating key highlights post analysis on all the vendors/ dealers assessed along with suitable actions that can be taken from the data analysis. Independently handled client mandate/ corporate Good Knowledge of Accounts & Finance. Analytical Capabilities. Ability to work under pressure. Good ...
feedback to senior management and the key stakeholders Requirements • Relevant degree or work experience • Strong functional leadership with proven delivery track record • Should be an authority on Securities Processing across Custody, Broker-Dealer and Prime specifically in the Asset Servicing
or missing accounts. • Initiate, respond and follow up to inquiries from employees and other broker dealers with respect to the covered account population. • Process, investigate and scan received brokerage account statements Job responsibilities include ...
To satisfy these requirements the group interacts with front office, middle office, Stock Loan, Compliance, Operations and external broker-dealers. Members of this department are responsible for: effectively performing their responsibilities pertaining to incoming/outgoing Buy-Ins on unsettled trades ...
transactions to determine accurate calculation of fees due to the firm. Furthermore, coordinate and allocate incoming Syndicate Fees. -Duties also involve heavy communication with other broker/dealers and issuers in acquiring payment instructions, proper contacts, trade details and transactions. -Manage fund
reviews of practices (such as income estimation methodologies, credit bureau coverage, dealer oversight, key money, mortgage insurance and overdraft services), Partnering with functional specialist teams on practice or policy reviews (of fraud, collections, LLR and Basel related or accounting policy
department responsible for the Specialty Merchants private label credit card portfolio. As part of the Citi Retail Services Risk Management team, the successful candidate will be responsible for performing judgmental in depth financial statement analysis to manage new and existing dealer relationships ...
reporting, analysis and controls. We support Foreign Exchange and Local Markets (FXLM) and Broker/Dealer Equities, Fixed Income and Derivatives for Country, Regional and Global Product Controllers. Our goal is to add value in support to Markets and Risk Treasury business, accounting, valuation
and set up mortgage and asset backed securities. Collect mortgage data from a variety of written and electronic sources using proprietary software tools. Update and maintain mortgage backed securities monthly. Assist senior analysts in Mortgage-backed and Asset-backed securities cash flow modeling
Maintain contact with all clients in the domestic & International Market area, Build direct & dealer sales pipeline & develop opportunities,maintain all national & international pricing & sales,convert cold leads,presenting new products. Industry Electricals / Switchgears functional Area