- MUFG (New York, NY)
- …+ 5+ years of Fixed Income Compliance experience + Strong knowledge of FINRA , SEC , NFA and CFTC rules and regulations. + Strong verbal, written and ... details. Our ideal candidate will possess a strong understanding of regulatory compliance , risk management, and business operations. This role requires someone who… more
- SMBC (New York, NY)
- …securities products. **Role Objectives: Delivery** 1. Maintain entity level Risk Governance in compliance with CFTC/NFA and SEC / FINRA regulations and uphold ... Associate will collaborate with teams in the Front Office, Finance, Accounting, Compliance , Legal, and Audit, while leveraging resources within the Risk Management… more
- SMBC (New York, NY)
- …SEC -registered investment adviser, ensuring activities are conducted in compliance with applicable regulatory requirements. This includes global policies, ... parent, global operating model. + Direct experience managing regulatory exams (particularly SEC exams). + Fund compliance experience (public and private). +… more
- Marex (New York, NY)
- …Ensuring compliance with the company's regulatory requirements under the SEC , FINRA , Various Securities Exchanges, and other applicable regulatory ... laws, rules and regulations with the ability to assess firm impact. Specifically, FINRA , SEC , Various Securities Exchanges, Options Clearing Corp. and other… more
- Marex (New York, NY)
- …process. + Ensuring compliance with the company's regulatory requirements under the SEC , FINRA , MSRB, and other regulatory rules and regulations. + Adhere to ... laws, rules and regulations with the ability to assess firm impact. Specifically, SEC , FINRA , MSRB, and other regulatory organizations. + Excellent understanding… more
- Scotiabank (New York, NY)
- …manage regulatory examinations by evaluating and responding to requests from regulators including SEC , FINRA , NY Federal Reserve, and US Treasury Department. In ... Director, Markets Compliance Officer **Requisition ID:** 225527 **Salary Range:** 180,000.00...equities sales and trading business. + Knowledge of relevant SEC and FINRA rules and regulations pertaining… more
- Marex (New York, NY)
- …process. + Ensuring compliance with the company's regulatory requirements under the SEC , FINRA , NFA, CFTC and other applicable exchanges. + Adhere to the ... www.marex.com (http://www.marex.com/) Purpose of Role: Marex is seeking a Compliance Officer - Swap Advisory who will provide ...the ability to assess firm impact. Specifically, NFA, CFTC, SEC + Comfortable working both independently and in a… more
- TD Bank (New York, NY)
- …ensuring alignment with strategic objectives + Strong knowledge of regulatory frameworks, including SEC , FINRA , OCC and other relevant bodies + FINRA ... more specific details for this role. **Line of Business:** Compliance **Job Description:** **Why Work with Us?** At... **Why Work with Us?** At TD Bank US Compliance , we're on a mission to build a more… more
- SMBC (New York, NY)
- …+ Experience dealing with US financial regulators, including the Federal Reserve, SEC / FINRA , and CFTC/NFA. + Excellent written and oral communication skills, ... competitive portfolio of benefits to its employees. **Role Description** The Advisory Compliance team serves as a regulatory advisory function and is responsible for… more
- BMO Financial Group (New York, NY)
- …managed, and monitored in the business/group. The governance framework includes SEC / FINRA regulatory policies, guidelines and provides programs, practices and ... promote transparency, accuracy, consistency across groups. Provides an oversight of SEC Rule 17a-5. Applies specialized knowledge of Accounting & Financial… more
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