- Siebert Williams Shank (New York, NY)
- …trading platform, and a sound regulatory capital base. We are a SEC -registered securities broker-dealer and member of the Financial Industry Regulatory Authority ( ... FINRA ) and the Municipal Securities Rulemaking Board (MSRB). Our...all activities and duties are carried out in full compliance with regulatory requirements and internal policies and procedures… more
- Capital One (New York, NY)
- …mindset with working knowledge of regulatory requirements relevant to the bank's Broker Dealer ( SEC / FINRA ) and Swap Dealer (CFTC / NFA) activities. + Thought ... equal opportunity employer (EOE, including disability/vet) committed to non-discrimination in compliance with applicable federal, state, and local laws. Capital One… more
- EPAM Systems (New York, NY)
- …to model-driven workflows + Understanding of regulatory frameworks (eg, NAIC, Solvency II, SEC , FINRA ) + Experience with DevOps tools (Jenkins, GitLab CI, ... event-driven architectures + SQL databases, real-time data processing + Security, compliance , and auditability within financial systems + Excellent communication and… more
- MetLife (New York, NY)
- …* Basic knowledge of investment products (eg, fixed income securities), SEC / FINRA regulations Equal Employment Opportunity/Disability/Veterans If you need an ... impactful results to stakeholders. Key Responsibilities * Conduct audits to ensure compliance with company policies and internal controls. * Draft and ensure… more