- Capital One (Mclean, VA)
- …to audit requests from various regulatory bodies including internal / external auditors, SEC , FINRA , and State of Louisiana + Prepares additional regulatory ... trade reporting. + Manages ad hoc requests + Assists with preparing monthly FINRA FOCUS and quarterly Supplemental Statement of Income (SSOI) reports + Prepares and… more
- Citigroup (Getzville, NY)
- …regulatory filing preparation and submission of daily, weekly, and bi-weekly reports to OFR, FINRA , and FRB of NY. This role will also take part in routine ... Interest, Covered Securities Loan transactions, and Portfolio Margining to FINRA , and FR 2004 to the Federal Reserve. +...and external audits. + Maintain communication with the Business, Compliance , IT, and the Control & Reconciliation Group to… more
- TD Bank (New York, NY)
- …Management: Ensure TDS meet regulatory requirements as it related to surveillance data (eg, SEC , CFTC, NFA, FINRA , FCA, CIRO, etc.) and aligns with internal ... New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $150,000 - $250,000 USD TD is committed to providing fair… more
- Citigroup (Jersey City, NJ)
- …responding to regulatory inquiries from each of the major regulatory bodies (eg FINRA , SEC , CFTC). The response process includes compiling all requested ... Serves as a compliance risk officer for the Independent Compliance Risk Management (ICRM)'s Control Room team. The ICRM Global Surveillance platform encompasses… more
- Scotiabank (New York, NY)
- …and systems + Knowledge of regulatory frameworks related to market abuse and conduct (eg FINRA , CFTC, SEC , FCA) + Strong analytical skills with a proven ability ... **Purpose** Seeking a detail-oriented Senior Audit Manager who is seasoned Compliance Auditor with significant experience in Trade Surveillance audits, focused on… more
- MUFG (Irving, TX)
- …enterprise risk framework. As a strategic leader within the Financial Crimes Compliance function, you will bring deep expertise in quantitative modeling, sanctions ... compliance systems, regulatory policy, and banking operations. You will...regulatory standards, including those set by the FRB, OCC, SEC , FATF, FinCEN, OFAC, and the USA PATRIOT Act.… more
- Truist (Atlanta, GA)
- …management, traders, and internal risk partners. 6. Strong understanding of SEC / FINRA or CFTC/NFA regulations regarding secondary trading. **Preferred ... within CIB. The team performs trade surveillance activities, working with traders, compliance , and other risk functions to review trade surveillance alerts and… more
- Wells Fargo (Charlotte, NC)
- …understanding of statistic and mathematical modeling + Basic knowledge and understanding of SEC , FINRA and international regulations + Strong knowledge of core ... implementing pricing, risk, and analytics models, supporting regulatory and compliance requirements and collaborating with traders, quants, product and other… more
- Marex (New York, NY)
- …banks + Ensuring compliance with the company's regulatory requirements under the SEC , FINRA , NFA, CFTC and other applicable exchanges. + Adhere to the ... lines and sanction screening queues. + Help set up compliance , financial crime and fraud detection and AML processes...responsibility + To report any breaches of policy to Compliance and/ or your supervisor as required + To… more
- JPMorgan Chase (Plano, TX)
- …LLC (JPMS LLC) is a licensed broker-dealer and investment adviser registered with the SEC and FINRA . It is also a Municipal Securities Dealer, Futures Commission ... you'll have the opportunity to collaborate with senior stakeholders and drive compliance initiatives that impact our business worldwide. As a Legal Entity Control… more