• Operational Risk Manager

    Marex (New York, NY)
    …and related control gaps. + Governance: Contribute in and create reporting materials for governance forums, ensuring comprehensive oversight and identification of ... operational risk trends. + Risk Reporting : Preparing and presenting detailed risk reports / dashboards...Ensuring compliance with the company's regulatory requirements under the SEC , FINRA, NFA, CFTC and other applicable exchanges. +… more
    Marex (09/10/25)
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  • Investment Analytics & Trade Monitoring Manager…

    City National Bank (New York, NY)
    …improper order handling, concentration limit violations, and securities journaling. * Reporting : Develop and implement quarterly, monthly, and daily reporting . ... trading workflows including pre-trade and post-trade compliance rules subject to SEC , FINRA, ERISA, and banking regulatory frameworks. *Additional Qualifications* *… more
    City National Bank (09/04/25)
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  • Strategy & Transformation Program Manager - Data…

    SMBC (New York, NY)
    …decision-making across complex initiatives. + Deliver clear and consistent communications, reporting , and documentation to stakeholders at all levels. + Support the ... required. + Conduct reviews to ensure projects are added to the project reporting system and continuously updated with relevant, accurate, and timely data suitable… more
    SMBC (08/28/25)
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  • Enterprise Compliance Training & Education Senior…

    Raymond James Financial, Inc. (New York, NY)
    …oversees compliance processes including scheduling, training, and review of compliance reporting . + Establishes objectives and develops processes and procedures to ... ensure adherence to all regulatory requirements. + Monitors reporting . + Partners with business units to recommend policy and process changes to Senior Management. +… more
    Raymond James Financial, Inc. (08/28/25)
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  • Systems Engineer I

    University of Rochester (Rochester, NY)
    …a large part in day-to-day activities as well as annual department wide reviews/ reporting on hardware end of life cycle replacement budgeting. There will also be ... There will be direct responsibility for asset management, documentation, reporting and hardware end of life rotation based on...serve in a backup capacity to our NMD and SEC Systems Engineers in support of our EMG and… more
    University of Rochester (09/26/25)
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  • Program Financial Management Naval Helicopter…

    Lockheed Martin (Owego, NY)
    …Cash, ROIC, Overhead, Discretionary Funding\) and monthly, quarterly and year end reporting to internal and external customers to include government contractual cost ... and schedule earned value management reporting \. Develops and utilizes forward\-looking data analytics, visualization and trend analysis to inform financial strategy… more
    Lockheed Martin (09/24/25)
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  • Senior Compliance Officer - Fixed Income

    BMO Financial Group (New York, NY)
    …Fixed Income Compliance team in New York with a focus on FINRA and SEC broker-dealer requirements and corresponding oversight. We are looking for someone to work ... mitigate them. Develop and maintain compliance information for analysis and reporting . Achieve compliance goals by maintaining current knowledge of regulatory… more
    BMO Financial Group (09/22/25)
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  • Director, Compliance - Branch Inspections Team…

    TD Bank (New York, NY)
    …and track issues to closure. + Prepare metrics and provide details for reporting on Branch Inspection progress both internally and externally to FINRA as part ... or regulator, Branch Inspections testing a plus. + Strong knowledge of SEC , FINRA and other relevant regulatory requirements. + Strong Knowledge of operations,… more
    TD Bank (09/21/25)
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  • Senior Compliance Officer - Surveillance, Data…

    TD Bank (New York, NY)
    …ensure TDS meets regulatory requirements as it relates to surveillance data (eg, SEC , CFTC, NFA, FINRA, FCA, CIRO, etc.) and aligns with internal compliance ... issues and help implement controls to prevent recurrence, and enhance reporting mechanisms for senior management. + Stakeholder Engagement: Collaborate with Trade… more
    TD Bank (09/17/25)
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  • Senior Registration Analyst

    Neuberger Berman (New York, NY)
    …updating licenses, overseeing terminations, state registrations, and related regulatory reporting . **Key Responsibilities:** + Review and complete pre-hire Workday ... + Manage FINRA Gateway queues, reports, and information requests + Provide reporting to business management, supervision and compliance teams to ensure regulatory… more
    Neuberger Berman (09/09/25)
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