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Career Level: 3
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Skills: Barclays Capital Inc.
BofA Securities, Inc.
Cantor Fitzgerald & Co.
Citigroup Global Markets Inc.
Daiwa Capital Markets America Inc.
Deutsche Bank Securities Inc.
Goldman Sachs & Co. LLC
HSBC Securities (USA) Inc.
Jefferies LLC
J.P. Morgan Securities LLC
Mizuho Securities USA LLC
Morgan Stanley & Co. LLC
NatWest Markets Securities Inc.
Nomura Securities International, Inc.
RBC Capital Markets, LLC
Santander US Capital Markets LLC
Societe Generale, New York Branch
TD Securities (USA) LLC
UBS Securities LLC.
Wells Fargo Securities, LLC Education: 2 Requirement: Learn regulatory jurisdictions outside of the US and the interplay of regulatory rules between jurisdictions affecting our inter-affiliate transactions
Continue to improve automation for all aspects of regulatory requirements.
Further document and improve regulatory controls and procedures.
Participate in external audits and queries from regulators and auditors Description: Oversee the creation and approval of core project documentation including business requirements, functional requirements, technical specifications, user acceptance testing.
Documentation of all required meeting materials
Risk and issue identification, communication and resolution.
Working with functional leads and front-to-back stakeholders in the development of workstream strategy and delivery.
Objectives planning, defining scope and deliverables
Project plan development including activity planning, sequencing and resource management
Research regulatory impact of new business initiatives on margin policies.
No OPT and CPT
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