• 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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  • 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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  • Regulatory Change Management Attorney

    US Bank (New York, NY)
    …company with a focus on broker-dealer and registered investment adviser requirements, including SEC and FINRA regulations and state securities laws. - Advise ... regulatory changes for use by internal partners, such as compliance and business lines, and providing legal advice and...positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the… more
    US Bank (05/31/25)
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  • Fund Oversight Senior Manager

    Neuberger Berman (New York, NY)
    …reporting, and/or intermediary compensation + Knowledge of industry regulations (eg, SEC , FINRA .PRIIPs) and compliance requirements related to ... operational efficiency across the Fund's platform. **Responsibilities:** + Drive the NBIA SEC required 15-c investment advisory annual review by responding to a… more
    Neuberger Berman (06/10/25)
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  • Senior Advisor, PCG Branch Exams

    Raymond James Financial, Inc. (NY)
    … compliance and/or branch exams + Rules and regulations of the SEC , FINRA , and state securities regulatory agencies + Fundamental investment concepts, ... and Responsibilities** + Execution of the risk-based branch exam program in FINRA -registered and non-registered Private Client Group branches across the country +… more
    Raymond James Financial, Inc. (06/07/25)
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  • Director, Sr Business Control

    Bank of America (New York, NY)
    …of sales/trading activity. **Position Description:** + Understanding of US Equity Regulations, particularly SEC , FINRA , CFTC + Coordinate with IT to create and ... line of business, COO and other support functions (eg Compliance , Operational Risk). Responsible for creating, enhancing and overseeing...Oversee, develop, maintain and enforce the supervisory program + FINRA series 7, 63, 57, 4 & 24 licensed… more
    Bank of America (04/09/25)
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  • Technology Risk Management - Control Officer; VP

    MUFG (New York, NY)
    …key risks associated with Application Development (System Development Lifecycle) Dev/ Sec /Ops, deployment pipeline, and cloud architecture. + Demonstrated experience ... + Experience with key risks associated with Application Development (SDLC) Dev/ Sec /Ops, deployment pipeline, and cloud architecture. + Skilled experience with… more
    MUFG (06/08/25)
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  • Regulatory Reporting Sr. Analyst, AVP - Hybrid

    Citigroup (Getzville, NY)
    …regulatory filing preparation and submission of daily, weekly, and bi-weekly reports to OFR, FINRA , and FRB of NY. This role will also take part in routine ... Interest, Covered Securities Loan transactions, and Portfolio Margining to FINRA , and FR 2004 to the Federal Reserve. +...and external audits. + Maintain communication with the Business, Compliance , IT, and the Control & Reconciliation Group to… more
    Citigroup (05/24/25)
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  • Director, Trade Surveillance - Data Quality

    TD Bank (New York, NY)
    …Management: Ensure TDS meet regulatory requirements as it related to surveillance data (eg, SEC , CFTC, NFA, FINRA , FCA, CIRO, etc.) and aligns with internal ... New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $150,000 - $250,000 USD TD is committed to providing fair… more
    TD Bank (06/07/25)
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  • Vice President, Capital Markets Supervision…

    BMO Financial Group (New York, NY)
    …of the Broker Dealer and Banking Regulations, which include but not limited to SEC , FINRA , FRB, NFA and CFTC. + Demonstrated analytical, auditing, writing, ... and operating the First Line of Defense's Operating Group Compliance Program (OGCP). The OGCP is the system of...Line of Defense to achieve and sustain its risk-based compliance with applicable laws and regulatory requirements. CMS tests… more
    BMO Financial Group (06/03/25)
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