• Head of Management Liability Claims - D&O

    Axis (New York, NY)
    …and auditors + Supporting underwriting on policy language and construction, broker , and client relationships, claim trends, data analysis, and risk assessments ... experience; Experience with D&O or other Financial Lines claims, securities class actions, shareholder derivative suits, government investigations, bankruptcy… more
    Axis (07/22/25)
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  • VP, Senior Investor Relations Success Manager

    OTC Markets Group Inc (New York, NY)
    …(OTCQX: OTCM) operates regulated markets for trading 12,000 US and international securities . Our data-driven disclosure standards form the foundation of our three ... Link(R) Alternative Trading Systems (ATSs) provide critical market infrastructure that broker -dealers rely on to facilitate trading. Our innovative model offers… more
    OTC Markets Group Inc (07/18/25)
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  • VP, Sales and Business Development Lead- Market…

    OTC Markets Group Inc (New York, NY)
    …(OTCQX: OTCM) operates regulated markets for trading 12,000 US and international securities . Our data-driven disclosure standards form the foundation of our three ... Link(R) Alternative Trading Systems (ATSs) provide critical market infrastructure that broker -dealers rely on to facilitate trading. Our innovative model offers… more
    OTC Markets Group Inc (06/25/25)
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  • FR2004 Regulatory Reporting, AVP

    MUFG (New York, NY)
    …and documentation submission required by the regulatory bodies for the broker -dealer's onboarding process + Assist with system configuration, setup, and testing ... a similar business analyst or market operations role, preferably within a broker -dealer or financial institution + Thorough understanding of financial markets, and… more
    MUFG (06/08/25)
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  • Regulatory Reporting Sr. Analyst, AVP - Hybrid

    Citigroup (Getzville, NY)
    …such as Non-centrally Cleared Bilateral Repo Data to OFR, Short Interest, Covered Securities Loan transactions, and Portfolio Margining to FINRA, and FR 2004 to the ... skills. + 4+ years of related experience in the banking / broker -dealer industry. + Material experience with operational risk disciplines; processes, risks and… more
    Citigroup (05/24/25)
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  • Asset Management - Securitized Credit Research…

    JPMorgan Chase (New York, NY)
    …macroeconomic drivers to formulate investment recommendations for sectors and individual securities + Leverage quantitative and programming skills to aggregate and ... including portfolio managers, investment specialists, issuers, rating agencies, and broker -dealers **Required qualifications, capabilities and skills** + Minimum of… more
    JPMorgan Chase (08/13/25)
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  • Data Analyst - Compliance

    Guardian Life (New York, NY)
    …products and services offered by Guardian and its subsidiaries, including affiliated broker dealers, comply with applicable laws, regulations, and standards. This is ... compliance programs that ensure adherence to company policies and insurance and securities regulations. + Support the development of the compliance team's data… more
    Guardian Life (08/09/25)
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  • Senior Compliance Officer - Fixed Income

    BMO Financial Group (New York, NY)
    …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 closely ... best execution/order handling, and Market Access. + Strong knowledge of applicable securities laws, rules and regulations with the ability to assess firm impact.… more
    BMO Financial Group (08/09/25)
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  • NAM Head of Fixed Income Trade Processing…

    Citigroup (New York, NY)
    …including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. Citi enables clients ... Good knowledge of major Fixed Income Products (eg Bonds/Swaps/Futures) and Broker /Customer Markets electronic trading flows. + Desirable - Experience developing… more
    Citigroup (08/08/25)
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  • Analyst, Investment Accounting Trade Operations

    Lincoln Financial (Albany, NY)
    …and Tax basis. They will be responsible to perform more complex securities research, analysis, and proper accounting treatment of Lincoln Financial (LF) investment ... to help put their goals in reach. Lincoln Financial Distributors, a broker -dealer, is the wholesale distribution organization of Lincoln Financial. Lincoln Financial… more
    Lincoln Financial (08/08/25)
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