• Onboarding Analyst - Broker Dealer

    Marex (New York, NY)
    …visit www.marex.com (http://www.marex.com/) (http://www.marex.com/) Purpose of Role: The Onboarding Analyst will facilitate the onboarding process for opening new ... of client static data in order to improve efficiencies and Compliance reporting . + Ensuring compliance with the company's regulatory requirements under the … more
    Marex (08/07/25)
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  • Fixed Income Operations Analyst

    Marex (New York, NY)
    …(http://www.marex.com/) Purpose of Role: Marex is seeking a Fixed Income Operations Analyst who will support the Credit, Rates, MBS, Repo, and Customer Clearing ... across US Rates and Credit. + Monitor and resolve reporting breaks. + Research and resolve position breaks and...Ensuring compliance with the company's regulatory requirements under the SEC , FINRA, NFA, CFTC and other applicable exchanges. +… more
    Marex (08/07/25)
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  • Security & Derivatives Lead Analyst - VP…

    Citigroup (Getzville, NY)
    The Sec & Derivatives Lead Analyst is a senior level position responsible for product management in the FX and Treasury Operations teams. **_Responsibilities:_** ... personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency. **_Qualifications:_** + 6-10 years of… more
    Citigroup (07/31/25)
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  • Transaction Capture Lead Analyst…

    Citigroup (Getzville, NY)
    The Sec & Derivatives Sr Analyst is an intermediate level position responsible for processing orders and transactions originating from trading desks and branch ... personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency. **Qualifications:** + 5-8 years of… more
    Citigroup (07/15/25)
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  • Head of Product, Commercial Bank Capital Markets

    Capital One (New York, NY)
    …risk, and execute on trades and transactions in a well-managed and compliant manner. Reporting to Chief Product Officer of the Commercial Bank and sitting on the ... of regulatory requirements relevant to the bank's Broker Dealer ( SEC / FINRA) and Swap Dealer (CFTC / NFA)...including Series 7 / 63 License or Chartered Financial Analyst (CFA) certification **Basic Qualifications:** + At least 9… more
    Capital One (08/04/25)
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  • Director, Trade Surveillance - Data Quality

    TD Bank (New York, NY)
    …strategic guidance and independent oversight of the surveillance output and analyst dispositions of alerts, and suggested enhancements to the program. Through ... Ensure TDS meet regulatory requirements as it related to surveillance data (eg, SEC , CFTC, NFA, FINRA, FCA, CIRO, etc.) and aligns with internal compliance policies.… more
    TD Bank (06/07/25)
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