• Asset Backed Securities Quant - Assistant…

    Citigroup (New York, NY)
    …professionals + Work in close partnership with control functions such as Legal, Compliance , Market and Credit Risk, Audit, Finance in order to ensure appropriate ... to Citi's Code of Conduct and the Plan of Supervision for Global Markets and Securities Services; and ensure that all team members understand the need to do the same… more
    Citigroup (07/18/25)
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  • Buy-In Securities & Derivatives…

    Citigroup (Getzville, NY)
    …requirements and adherence to audit and control policies * Participates in compliance related procedures and controls activities *Continuously looks for and designs ... firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying… more
    Citigroup (07/15/25)
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  • Business Systems Specialist - Securities…

    TD Bank (New York, NY)
    …you will play a crucial role in the next phases of the Securities -Based Lending platform evolution. You will be primarily responsible for partnering with business ... patterns, APIs, ETL and other related technology. + Experience managing regulatory compliance programs. + In-depth knowledge of JIRA and Confluence and experience… more
    TD Bank (08/02/25)
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  • Securities Services - Private Equity Fund…

    JPMorgan Chase (Brooklyn, NY)
    JP Morgan Alternative Fund Services ("AFS") is part of the Securities Services business group in the Corporate & Investment Bank and is one of the largest fund and ... functions and internal stakeholders including risk and control groups, audit, compliance , implementation, investor relations, and operations. + Ensure adherence to… more
    JPMorgan Chase (07/31/25)
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  • Securities Services - Private Equity Fund…

    JPMorgan Chase (Brooklyn, NY)
    JP Morgan Alternative Fund Services ("AFS") is part of the Securities Services business group in the Corporate & Investment Bank and is one of the largest fund and ... functions and internal stakeholders including risk and control groups, audit, compliance , implementation, investor relations and operations + Ensure adherence to… more
    JPMorgan Chase (07/28/25)
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  • Central Supervision Principal

    KeyBank (Albany, NY)
    …- Business Administration preferred *A minimum of 5 years' experience in securities supervision/ compliance activity within a brokerage or bank-based brokerage ... complaints received for the territories he/she supports, and work with KIS Compliance , KIS registered representatives and Sales Leaders in a collaborative nature to… more
    KeyBank (06/20/25)
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  • Senior Risk Advisory Manager Public Finance…

    Truist (New York, NY)
    …and regulatory knowledge with an emphasis on: Credit, Market, Liquidity, Compliance , Operational, Reputation and Strategic Risks. 6. Strong leadership and ... risk and regulatory knowledge with an emphasis on Non-Financial Risks. ( Compliance , Operational, Reputational, Strategic Risks) + Knowledgeable of Credit, Market and… more
    Truist (07/19/25)
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  • Compliance Consultant, Funds Management

    Lincoln Financial (Albany, NY)
    …accounts. The Funds Management compliance team primarily oversees compliance with federal securities regulations relating to these companies/accounts ... at a Glance** The Role at a Glance The Compliance Consultant, Funds Management role is responsible for supporting...LFI 's Code of Ethics programs including analysis of securities transactions and maintenance of required statements for those… more
    Lincoln Financial (07/11/25)
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  • Chief Compliance Officer - Investment…

    US Bank (New York, NY)
    …compliance or financial industry related role, preferably in a CCO role or securities related -Prior experience with compliance or operational aspects of ETFs ... This position within RSS will serve as the Chief Compliance Officer (CCO) for one of our multiple series...- Strong knowledge of federal securities regulations (1940 Act, Advisers Act, AML) - Strong… more
    US Bank (07/26/25)
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  • CIB Wholesale Credit Risk - North America…

    JPMorgan Chase (New York, NY)
    …risk disclosures, capital-driven limit, reporting requirements, and the management of securities -based swaps; ensuring compliance with FINRA rules, related to ... with Credit Risk SMEs and partners and ensure thorough assessments and compliance by adhering to policies and procedures including Credit Risk Management, Credit… more
    JPMorgan Chase (07/23/25)
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