• Associate Director Product Management (Capital…

    Publicis Groupe (New York, NY)
    …middle office, back office). + Proven expertise in settlement processes, regulatory reporting (eg, SEC , CFTC, MiFID, EMIR), and compliance requirements. + ... Capital Markets operations, with a strong understanding of trading, settlement, regulatory reporting , and key industry integrations. The individual will serve as a… more
    Publicis Groupe (09/30/25)
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  • Trading Services (Multiple Positions Available)

    JPMorgan Chase (New York, NY)
    …TradeWeb, and BroadRidge systems; trade flows utilized to facilitate FINRA, SEC , and CFTC regulatory reporting ; identifying issues and inconsistencies ... within the trade booking process and working with the trading, compliance, legal, and regulatory teams to provide enhancements and corrections to workflows; defining comprehensive requirements for technology to develop new tools and enhance existing tools to… more
    JPMorgan Chase (09/18/25)
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  • Regulatory Reporting Senior Analyst…

    Citigroup (Getzville, NY)
    The Regulatory Reporting role is a senior analyst position within the CGMI Segregation Oversight team, which is responsible for executing daily controls to mitigate ... the inherent risk of non-compliance with the SEC 's Client Asset Protection rule (15c3-3), a Tier 2...processes and controls to mitigate the risk of inaccurate reporting . + Collaborate with the team to drive process… more
    Citigroup (07/19/25)
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  • Fixed Income Compliance Manager

    Citizens (New York, NY)
    …compliance at a FINRA registered broker dealer. + In-depth knowledge of SEC and FINRA rules (trade reporting , markups/markdowns, suitability, communications). + ... Officer for our Fixed Income Sales & Trading team. Reporting to the Head of Sales & Trading Compliance,...Monitor trading activity and resolve exceptions related to trade reporting , order handling, and surveillance alerts. + Conduct daily… more
    Citizens (09/19/25)
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  • CAT/Cais Reporting Analyst -Remote…

    Raymond James Financial, Inc. (New York, NY)
    …We are seeking a detail-oriented professional with hands-on experience in regulatory reporting , specifically with **CAT** and **CAIS** , to support our compliance ... be considered for candidates with demonstrated expertise in CAT and CAIS reporting ._** Typically, this position follows our hybrid-friendly schedule, so you get the… more
    Raymond James Financial, Inc. (09/30/25)
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  • Analyst, Executive Compensation Reporting

    General Motors (Albany, NY)
    …financial reporting , or related field. + Strong understanding of SEC disclosure requirements, especially related to executive compensation. + Proficiency in ... times a week, at minimum. **The Role:** The Analyst, Executive Compensation Reporting plays a critical role in supporting the company's executive compensation… more
    General Motors (09/26/25)
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  • Non-Financial Regulatory Reporting

    Mizuho Corporate Bank (New York, NY)
    …of the largest-and growing-banks in the world. About the Team Operations Regulatory Reporting is a newly created team within Operations that is responsible for the ... team's daily operations ensure the bank meets its regulatory reporting obligations and that data is reported in an...in a dynamic environment + Knowledge of various FINRA, SEC , or CFTC regulations + Experience with various regulatory… more
    Mizuho Corporate Bank (09/12/25)
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  • Deputy Chief Compliance and Risk Officer,…

    HUB International (New York, NY)
    …position is supporting HUB International's Retirement & Private Wealth (RPW) SEC registered investment advisor and limited purpose FINRA Broker-Dealer: The Deputy ... and Risk Officer, will be a highly visible, senior leadership position, reporting directly into the Global/Executive Chief Compliance and Risk Officer, working… more
    HUB International (08/21/25)
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  • Managing Director and Chief Compliance…

    Manulife (New York, NY)
    …two principal responsibilities. Responsible for the design and management of a SEC Rule 38a-1 compliance program for two registered investment companies, a business ... mortgage real estate loans. Responsible for the design and management of a SEC 206(4)-7 compliance program for CQS (US), LLC ("CQS (US)"). CQS (US) provides… more
    Manulife (09/25/25)
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  • Managing Director and Chief Compliance…

    Manulife (New York, NY)
    …two principal responsibilities. Responsible for the design and management of a SEC Rule 38a-1 compliance program for two registered investment companies, a business ... mortgage real estate loans. Responsible for the design and management of a SEC 206(4)-7 compliance program for CQS (US), LLC ("CQS (US)"). CQS (US) provides… more
    Manulife (09/25/25)
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