Regulatory Compliance, Fixed Income Operations recruitment
In particular, individuals will be involved with Regulatory developments in the region, driving initiatives to implement new requirements, and undertaking special reviews for key areas within Operations. Responsibilities may also include working with third parties on Regulatory exams. Strong emphasis on Fixed Income Compliance. Knowledge of FOCUS reporting and 15c3-1 and 15c3-3 is helpful.Monitor fixed income reportable trades for both TRACE and MSRB. Perform audits on fixed income tradesCoordinate with FINRA on all fixed income regulatory inquires.Audit Operations for compliance with FINRA Read more […]
Senior Manager, Financial Risk Management / Regulatory Compliance – Ref HKR777 recruitment
KPMG’s Financial Risk Management (FRM) banking advisory team advises clients on the development and implementation of risk management policies, systems and controls. The scope of the work covers the full panoply of financial risks, such as credit risk, market risk, operational risk and liquidity risk; economic capital, capital management, stress testing, risk modeling and validation; and the prevention of money laundering and terrorist financing and regulatory compliance issues. There is a particular emphasis currently on the implementation of Basel II and other current local and international Read more […]
Clinical Compliance Manager – Regulatory Compliance – Full
You belong with the best. At Boston Medical Center (BMC), you can join a team of individuals who don’t simply strive for excellence – they set the standard for it. Boston Medical Center is unique in a city known for world-class healthcare. We offer the advanced care and progressive services you’d expect from a 508 licensed beds, academic medical center. But what sets us apart is our powerful mission to provide Exceptional Care Without Exception to our patients. With the largest 24-hour Level I trauma center in New England, our Emergency Department Read more […]