- CIBC (New York, NY)
- …**What You'll Be Doing:** The Capital Markets Compliance Examination Specialist is responsible for the execution of the US Compliance ... Investment Banking, Commodities and brokerage operations. + Solid understanding of FINRA, SEC and NYSE rules and regulations + Knowledge of federally recognized… more
- BMO Financial Group (New York, NY)
- …requirements + Develops and maintains compliance information for analysis and reporting . + Achieves compliance goals by maintaining current knowledge of regulatory ... preferred + Experience with a regulatory agency strongly preferred, including FINRA, SEC , NYSE + Knowledge of FICC, equities, prime brokerage, and investment banking… more