- TD Bank (New York, NY)
- …Bachelors degree or progressive work experience + 7-10 years related experience ** Preferred Qualifications:** + 7-10 years related experience, ideally 10+ years of ... rules and regulations with the ability to assess firm impact. Specifically, FED, FINRA, SEC , CFTC, NYSE, and OCC including Securities Act, Reg M, SPAC Rules, Trade… more
- Coinbase (Albany, NY)
- …or non-US equivalent (required) + advanced degree in finance, economics, or law ( preferred ). * Minimum of 4 + years of financial services regulatory experience, ... ideally focused on CFTC, SEC and/or prudential regulation. * Management consulting experience is a plus. * Understanding of blockchain-based technology, products,… more
- Neuberger Berman (New York, NY)
- …ad-hoc requests from senior management and portfolio managers + Support SEC and other regulatory compliance activities as needed **Qualifications:** + Bachelor's ... accounting, and financial reporting + 4-7 years of accounting/finance experience; CPA preferred + Highly detail-oriented and organized + Ability to meet assigned… more
- Deloitte (New York, NY)
- …and industries/sectors you serve + Limited immigration sponsorship may be available Preferred : + Advanced degree and/or certification (eg MBA, CRCM, CPA, PMP, or ... the CFPB, the OCC, the CFTC, FINRA, and the SEC Information for applicants with a need for accommodation:… more
- Broadridge Financial Solutions (Edgewood, NY)
- …sizing, and security and encryption protocols in MQ (TLS, channel exits, auth records). Preferred : + Working knowledge of RabbitMQ , SonicMQ , or Confluent Kafka is ... tooling (Datadog, similar others). + Exposure to regulatory environments (FINRA, SEC , etc.) and audit-readiness practices. Soft Skills: + Strategic mindset with… more
- Edward Jones (Patchogue, NY)
- …bullets listed below:** + A bachelor's degree is strongly preferred or equivalent work-related experience within the securities/financial services industry ... to complete ongoing training offered by the firm and regulatory authorities (FINRA and SEC ), as well as required CE training to ensure licenses remain in good… more
- 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 ... of the risk and compliance requirements associated with this. + Bachelor's degree preferred . Salary Range: $70,000 to $85,000 per year and eligible for discretionary… 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 ... BS or BA in finance, economics, public administration or related fields is preferred + Relevant experience working in the public finance sector required + Excellent… 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 ... related quantitative field) or an MBA with a quantitative concentration ** Preferred Qualifications:** + Experience translating business strategy and analysis into… more
- Deloitte (New York, NY)
- …and industries/sectors you serve + Limited immigration sponsorship may be available Preferred : + Advanced degree and/or certification (eg MBA, CRCM, CPA, PMP, or ... 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… more