• Regional Sales Manager - Vice President

    SMBC (New York, NY)
    …may not be permitted for certain roles, including, for example, certain FINRA -registered roles for which in-office attendance for the entire workweek is required. ... SMBC provides reasonable accommodations during candidacy for applicants with disabilities consistent with applicable federal, state, and local law. If you need a reasonable accommodation during the application process, please let us know at ###@smbcgroup.com. more
    SMBC (07/29/25)
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  • Audit Operations - Archer Associate

    SMBC (New York, NY)
    …may not be permitted for certain roles, including, for example, certain FINRA -registered roles for which in-office attendance for the entire workweek is required. ... SMBC provides reasonable accommodations during candidacy for applicants with disabilities consistent with applicable federal, state, and local law. If you need a reasonable accommodation during the application process, please let us know at ###@smbcgroup.com. more
    SMBC (07/29/25)
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  • Sales and Trading Audit Director

    SMBC (New York, NY)
    …may not be permitted for certain roles, including, for example, certain FINRA -registered roles for which in-office attendance for the entire workweek is required. ... SMBC provides reasonable accommodations during candidacy for applicants with disabilities consistent with applicable federal, state, and local law. If you need a reasonable accommodation during the application process, please let us know at ###@smbcgroup.com. more
    SMBC (07/27/25)
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  • Product Compliance Senior Officer - Cash Equities…

    Citigroup (New York, NY)
    …knowledge of and comfort with providing Compliance guidance in relation to applicable FINRA and SEC rules including REG SHO, 5320, Reg M. + Providing compliance ... coverage and compliance leadership to the Cash Equities businesses. Provides compliance guidance on function/business/product rules and regulations relating to operational issues, transactional approvals and the application of internal compliance policies for… more
    Citigroup (07/26/25)
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  • GRC Platform Implementation/Support

    SMBC (White Plains, NY)
    …may not be permitted for certain roles, including, for example, certain FINRA -registered roles for which in-office attendance for the entire workweek is required. ... SMBC provides reasonable accommodations during candidacy for applicants with disabilities consistent with applicable federal, state, and local law. If you need a reasonable accommodation during the application process, please let us know at ###@smbcgroup.com. more
    SMBC (07/26/25)
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  • Senior Manager, US Market Risk

    Scotiabank (New York, NY)
    …updates to various US and Canadian regulators including the Federal Reserve/DFS, FINRA , and OSFI. Lead frequent discussions and presentations of materials to these ... regulators and speak during examinations. Interact with the Regulatory Relations team. Work within the US Market Risk team, and overall US risk management effort including Liquidity Risk, Model Risk, Credit Risk, Operational Risk, and other risk disciplines.… more
    Scotiabank (07/25/25)
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  • VP, Hybrid Business Manager & Front Office…

    MUFG (New York, NY)
    …the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major responsibilities ... listed above are the material job duties of this role for which the Company reasonably believes that criminal history may have a direct, adverse and negative relationship potentially resulting in the withdrawal of conditional offer of employment, if any. The… more
    MUFG (07/25/25)
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  • Structured Finance Group - Analyst/Associate

    SMBC (New York, NY)
    …may not be permitted for certain roles, including, for example, certain FINRA -registered roles for which in-office attendance for the entire workweek is required. ... SMBC provides reasonable accommodations during candidacy for applicants with disabilities consistent with applicable federal, state, and local law. If you need a reasonable accommodation during the application process, please let us know at ###@smbcgroup.com. more
    SMBC (07/25/25)
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  • Sponsor Finance & Direct Lending Analyst…

    MUFG (New York, NY)
    …the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major responsibilities ... listed above are the material job duties of this role for which the Company reasonably believes that criminal history may have a direct, adverse and negative relationship potentially resulting in the withdrawal of conditional offer of employment, if any. The… more
    MUFG (07/24/25)
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  • Product Lead - Standby Letters of Credit

    US Bank (New York, NY)
    …Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank ... Secrecy Act, the SAFE Act, and/or federal guidelines applicable to an agreement, such as those related to ethics, safety, or operational procedures. Applicants must be able to comply with US Bank policies and procedures including the Code of Ethics and… more
    US Bank (07/24/25)
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