• Head of Regulatory Reporting & Compliance…

    Citigroup (New York, NY)
    …securities, OTC Derivatives + Extensive knowledge of key industry regulatory bodies - FINRA , SEC , CFTC and various European regulatory organizations + Knowledge ... summary:** We are hiring for the role of 'Head -Regulatory reporting and compliance delivery, Fixed Income Trade Processing Technology'. This role is based right in… more
    Citigroup (06/05/25)
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  • Program Sales Trader (Director)

    Raymond James Financial, Inc. (New York, NY)
    …Authority ( FINRA ), Series 63_AG - Agent - Financial Industry Regulatory Authority ( FINRA ), Series 7_GS - Gen Sec Rep - Financial Industry Regulatory ... identify potential clients. + Work with Technology, Operations and Compliance to ensure best practices and to generate ideas...that an exemption or grandfathering cannot be applied. + FINRA Series 7, Series 57 and Series 63 Licenses.… more
    Raymond James Financial, Inc. (06/03/25)
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  • Manager, Trade Surveillance - Quality Assurance

    TD Bank (New York, NY)
    …+ Ensure the surveillance department aligns with global regulatory requirements (eg, SEC , FINRA , CFTC, NFA, FCA, MAS, etc.) and industry standards ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $135,000 - $190,000 USD TD is...team). + Surveillance experience at Financial Market Regulator (eg, SEC , FINRA , CFTC, NFA, or Exchange Market… more
    TD Bank (05/22/25)
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  • Advisor, Supervision Trade Review

    Raymond James Financial, Inc. (NY)
    …and systems. * Pro-actively ensures compliance with applicable industry rules (ie State, FINRA & SEC ) and platform policies and procedures as they apply to ... industry operations * Rules and regulations of the Securities Exchange Commission ( SEC ); Financial Industry Regulatory Authority ( FINRA ); and state securities… more
    Raymond James Financial, Inc. (05/06/25)
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  • Capital Markets Regulatory Engagement Vice…

    Citigroup (New York, NY)
    …Officer will support Citi's regulatory engagement across Capital Markets Regulators - SEC , CFTC, FINRA , NFA. The Capital Markets Regulatory Engagement Officer ... work experience in financial services preferred. + Experience in compliance , legal or other control-related function in the financial...thereof; experience in area of focus. + Knowledge of SEC , CFTC, FINRA , NFA laws, rules and… more
    Citigroup (06/05/25)
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  • VP, Risk Data & Analytics

    Raymond James Financial, Inc. (New York, NY)
    …- External** **Knowledge, Skills, and Abilities** **Knowledge of** + Federal Reserve, OCC, FINRA , SEC , and other relevant regulatory guidance + Experienced in ... training. + Strong understanding of risk-related regulatory requirements (eg, OCC, FRB, FDIC, SEC , FINRA ) and ability to apply data analytics to risk reporting… more
    Raymond James Financial, Inc. (04/08/25)
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  • Principal Business Information Security…

    ServiceNow, Inc. (New York, NY)
    …a subject matter expert on financial services regulations (eg, GDPR, PCI-DSS, SOX, FINRA ), advising clients on compliance strategies and audit readiness. + ... of regulatory and audit requirements in financial services (eg, GDPR, PCI-DSS, SOX, FINRA , SEC Rule 17a-4, CDMC). **Technical Skills:** + Proficiency in… more
    ServiceNow, Inc. (06/05/25)
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  • Analyst, Fixed Income Research

    Raymond James Financial, Inc. (New York, NY)
    …Authority ( FINRA ), Series 63_AG - Agent - Financial Industry Regulatory Authority ( FINRA ), Series 7_GS - Gen Sec Rep - Financial Industry Regulatory ... + Remain cognizant of our commitment to regulatory and compliance requirements. **Educational/Previous Experience Requirements** + Ideal candidate will have… more
    Raymond James Financial, Inc. (05/08/25)
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  • Benefits/HRIS Human Resources Business Partner

    OTC Markets Group Inc (New York, NY)
    …NQB are each an SEC regulated ATS, operated by OTC Link LLC, a FINRA and SEC registered broker-dealer, member SIPC. Applicants have rights under the federal ... vision + Prepare any applicable reporting for and ensure compliance of federal, state and local laws and regulations...leadership on year-end Stock Buyback and Equity Compensation process. Compliance + Analyze changes to global (US, EMEA) labor… more
    OTC Markets Group Inc (05/13/25)
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  • Business Aligned Supervisory Officer - Regulation…

    Wells Fargo (New York, NY)
    …that require escalation, awareness, or approval. + Interface with Regulatory agencies (eg, OCC, FINRA , SEC , FCA etc.) as required, representing the bank and to ... COO teams as well as other support functions (eg, Compliance , Testing, Risk, Operations, Technology, Legal, Audit and Human...highly sensitive and confidential information utilizing sound judgement + FINRA Series 7, 24 & 63 licenses preferred but… more
    Wells Fargo (06/03/25)
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