- Marex (New York, NY)
- …reporting. + Ensuring compliance with the company's regulatory requirements under the SEC , FINRA, NFA, CFTC and other applicable regulatory bodies. + Adhere to ... the operational risk framework for your role ensuring that all regulatory or company determined parameters are complied with. + Role model for demonstrating highest level standards of integrity and conduct and reflecting Company Values. + At all times… more
- 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 diverse professionals are not only committed to providing the highest level of value-added services to our clients but also committed to improving the communities in which we work and live. We… more
- Marex (New York, NY)
- …related breaks. + Ensuring compliance with the company's regulatory requirements under the SEC , FINRA, NFA, CFTC and other applicable exchanges. + Adhere to the ... operational risk framework for your role ensuring that all regulatory or company determined parameters are complied with. + Role model for demonstrating highest level standards of integrity and conduct and reflecting Company Values. + At all times complying… more
- Marex (New York, NY)
- …funding banks + Ensuring compliance with the company's regulatory requirements under the SEC , FINRA, NFA, CFTC and other applicable exchanges. + Adhere to the ... operational risk framework for your role ensuring that all regulatory or company determined parameters are complied with. + Role model for demonstrating highest level standards of integrity and conduct and reflecting Company Values. + At all times complying… more
- Capital One (New York, NY)
- …with working knowledge of regulatory requirements relevant to the bank's Broker Dealer ( SEC / FINRA) and Swap Dealer (CFTC / NFA) activities. + Thought leader ... in the product management discipline with experience building and maturing high performing teams who obsess about clients, delivering value, and getting-stuff-done. + Aptitude to champion strategic technology initiatives to leap-frog current constraints and… more
- Deloitte (New York, NY)
- …and organizations including the FRB, the CFPB, the OCC, the CFTC, FINRA, and the SEC The wage range for this role takes into account the wide range of factors ... that are considered in making compensation decisions including but not limited to skill sets; experience and training; licensure and certifications; and other business and organizational needs. The disclosed range estimate has not been adjusted for the… more
- Evolent (Albany, NY)
- …by a state medical board **To comply with HIPAA security standards (45 CFR sec . 164.308 (a) (3)), identity verification may be required as part of the application ... process. This is collected for compliance and security purposes and only reviewed if an applicant advances to the final interview state. Reasonable accommodations are available upon request.** **Technical Requirements:** We require that all employees have the… more
- Capgemini (New York, NY)
- …functionality of at least 2 of the modules (ITSM or HRSD ITOM or ITAM, Sec Ops - etc) and the difference between configuration and customization * Developed test ... scripts as part of UAT for 2 of the ServiceNow modules * Developed training materials for at least 2 ServiceNow modules and conducted client training. Materials included PPT slides and labs ATF Test Lead Description **Job Description:** A ServiceNow Tester SR… more
- BlackRock (New York, NY)
- …with 1+ years advertising review experience. + Strong familiarity with FINRA and SEC advertising rules. + Series 7 registration required; Series 63 and 24 preferred ... (absolutely required within 2 months). + Excellent organizational and interpersonal skills; should be solutions driven, confident, and a highly motivated colleague with outstanding integrity. + Strong analytical skills, clear writing style, acute attention to… more
- Citigroup (New York, NY)
- …Margin, Enhanced Leverage) + Previous experience interacting with Regulators (FINRA, SEC , FRBNY) + Previous experience in legal contract negotiations a plus ... + Ability to work across trading floor, including partnering with trading desks, Quantitative analysts and Risk functions to drive product capabilities that deliver business growth or reduce risk + Demonstrated quantitative and analytical skills, with a high… more