• Lead Capital Markets Java Software Engineer

    Wells Fargo (New York, NY)
    …for Equity Swaps or Equity Derivatives Trading Desk. + Basic knowledge of SEC , FINRA , and international regulations for building technological solutions. + ... platform issues of a technically challenging nature + Lead team to ensure compliance and risk management requirements for supported area are met and work with… more
    Wells Fargo (06/11/25)
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  • Event Manager - US

    Marex (New York, NY)
    …assessment. + Ensuring compliance with the company's regulatory requirements under the SEC , FINRA , NFA, CFTC and other applicable exchanges. + Adhere to the ... responsibility + To report any breaches of policy to Compliance and/ or your supervisor as required + To...a regulated environment and knowledge of the risk and compliance requirements associated with this. + Proficient in HubSpot… more
    Marex (05/25/25)
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  • Change and Integration Risk Associate

    Marex (New York, NY)
    …the team. + Ensuring compliance with the company's regulatory requirements under the SEC , FINRA , NFA, CFTC and other applicable exchanges. + Adhere to the ... responsibility + To report any breaches of policy to Compliance and/ or your supervisor as require + To...required. + Solid understanding of Operational Risk and Regulatory Compliance in the financial services industry. + Bachelor's degree… more
    Marex (03/21/25)
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  • Application Support Analyst (Prime Brokerage…

    Marex (New York, NY)
    …functions. + Ensuring compliance with the company's regulatory requirements under the SEC , FINRA , NFA, CFTC and other applicable exchanges. + Adhere to the ... responsibility. + To report any breaches of policy to Compliance and/ or your supervisor as required + To...a regulated environment and knowledge of the risk and compliance requirements associated with this. Salary Range: $120,000 to… more
    Marex (06/12/25)
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  • Program Manager - Data Transformation & Strategy…

    SMBC (New York, NY)
    …Familiarity with regulatory and industry standards such as BCBS 239, GDPR, or OCC/ SEC data compliance expectations. + Prior experience implementing data tools or ... issues to the right stakeholders at the right time. + Partner with Compliance , Risk, Audit, and Technology teams to ensure program objectives align with regulatory… more
    SMBC (05/15/25)
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  • Legal Counsel, Documentation

    Marex (New York, NY)
    …Ensuring compliance with the company's regulatory requirements with the rules of the SEC , FINRA , NFA, CFTC and other applicable exchanges + Adhere to the ... responsibility. + To report any breaches of policy to Compliance and/ or your supervisor as required. + To...a regulated environment and knowledge of the risk and compliance requirements associated with this. Salary Range: $175,000 to… more
    Marex (05/04/25)
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  • Energy Tax Credits - Business Development Manager

    Marex (New York, NY)
    …products. + Ensuring compliance with the company's regulatory requirements under the SEC , FINRA , NFA, CFTC and other applicable exchanges. + Adhere to the ... responsibility. + To report any breaches of policy to Compliance and/ or your supervisor as required. + To...a regulated environment and knowledge of the risk and compliance requirements associated with this. + Bachelor's degree required.… more
    Marex (03/27/25)
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  • Risk Management - Trust and Estates Fiduciary Risk…

    JPMorgan Chase (New York, NY)
    …systems, governance, regulations, and best practices + Familiarity with OCC, SEC , and FINRA financial regulations, especially investment management regulations. ... to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan...customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging… more
    JPMorgan Chase (03/19/25)
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  • Non-Financial Regulatory Reporting

    Mizuho Corporate Bank (New York, NY)
    …ability to work within a team in a dynamic environment + Knowledge of various FINRA , SEC , or CFTC regulations + Experience with various regulatory reports (eg ... Further, the team plays a key role (in collaboration with legal, compliance , IT, etc) in the analysis, requirements specifications, and implementation of new… more
    Mizuho Corporate Bank (05/22/25)
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  • Global Markets, Business Support Manager

    Bank of America (New York, NY)
    …PB, F&O, etc.) + Strong understanding of AMRS Regulations, such as CFTC, SEC and FINRA rules + Program/project management experience with demonstrated ability ... team that partners with Trading, Sales, Operations, Technology, Legal, and Compliance to implement sustainable solutions across the Global Markets organization. We… more
    Bank of America (05/15/25)
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