• Compliance Risk Management Director (Retail…

    JPMorgan Chase (New York, NY)
    …compliance program design and operation under Rule 38a-1, including testing, reporting , and documentation. + Prepare and present Board-facing reports and updates ... risks or control gaps in fund operations. + Maintain working knowledge of SEC rules applicable to closed-end funds, tender offers, and affiliated transactions. +… more
    JPMorgan Chase (09/11/25)
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  • Product Controller

    Marex (New York, NY)
    …of Marex. This position is responsible for managing the production of P&L reporting and analysis, monthly balance sheet substantiation, reporting and analysis. ... closely with various business units to ensure accurate financial control and reporting . Marex has unique access across markets with significant share globally both… more
    Marex (09/28/25)
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  • Compensation Controller

    Marex (New York, NY)
    …(http://www.marex.com/) Purpose of Role: The US Compensation Controller will ensure consistent reporting of employee expenses across the group. The role is the ... for the US group in order to meet CEO reporting requirements and will also work closely with senior...Ensuring compliance with the company's regulatory requirements under the SEC , FINRA, NFA, CFTC and other applicable exchanges. +… more
    Marex (08/10/25)
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  • Detection Engineer

    Nelnet (Albany, NY)
    …to audit findings, directing remediation, tracking progress, providing status reporting , and creating/maintaining evidence documentation. * Develops and maintains ... Cybersecurity certifications, such as: Security+, SSCP, CISSP, GSEC, GCIA, GCI, CEH, SEC 511, SEC 555 etc. + Any relevant IT certifications specific to the… more
    Nelnet (09/26/25)
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  • Capital Markets Compliance Examination Specialist

    CIBC (New York, NY)
    …Investment Banking, Commodities and brokerage operations. + Solid understanding of FINRA, SEC and NYSE rules and regulations + Knowledge of federally recognized ... management experience + Prior experience working at a securities regulator (FINRA, SEC , NYSE) highly preferred + Former role as a commissioned securities examiner,… more
    CIBC (09/26/25)
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  • Sr. Mobility Platform Engineer

    Insight Global (New York, NY)
    …Application Management (MAM). Experience must align with compliance standards such as SEC , FINRA, SOX, and GLBA. Experience with integrations into Microsoft's O365 ... in a highly compliant environment with standards such as SEC , FINRA, SOX and GLBA - Scripting and Automation-...SOX and GLBA - Scripting and Automation- Ability to develop PowerShell scripts for automation, compliance reporting , and system… more
    Insight Global (09/26/25)
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  • AVP, Digital Marketing

    OTC Markets Group Inc (New York, NY)
    …experienced and strategic AVP, Digital Marketing to join our dynamic Marketing team. Reporting directly to the Chief Marketing Officer, this role is instrumental in ... Link ECN and OTC Link NQB are each an SEC regulated ATS, operated by OTC Link LLC, a...ATS, operated by OTC Link LLC, a FINRA and SEC registered broker-dealer, member SIPC. Applicants have rights under… more
    OTC Markets Group Inc (09/23/25)
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  • Head of Wealth Supervision

    Citizens (New York, NY)
    …and other activities requiring principal approval to ensure adherence to FINRA, SEC , and other regulatory requirements + Point of Escalation: All RSO, Wealth ... principal approvals, ensuring consistent application across the team + Regulatory Reporting : Maintaining accurate records of review activities and preparing reports… more
    Citizens (09/20/25)
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  • Research / Investment Banking Compliance Officer

    Citizens (New York, NY)
    …dynamic environment. Key Responsibilities + Regulatory Oversight: Monitor compliance with SEC , FINRA, and global regulations related to Research, and Investment ... related to "At the Market" (ATM) offerings, including obligations for trade reporting block trades. + Must have a solid understanding of the requirements… more
    Citizens (09/18/25)
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  • Asset Assessment Team Lead

    GovCIO (Albany, NY)
    …of the consolidated financial statements and all filings for submission to the SEC . + Analyzes revenue and expenditure variances relative to the adopted budget and ... financial statements, and quarterly and annual financial data in support of the SEC filings, as well as preparation of internal management analyses. + Coordinates… more
    GovCIO (09/07/25)
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