- Mizuho Corporate Bank (New York, NY)
- …ability to work within a team in a dynamic environment + Knowledge of various FINRA , SEC , or CFTC regulations + Experience with various regulatory reports (eg ... Further, the team plays a key role (in collaboration with legal, compliance , IT, etc) in the analysis, requirements specifications, and implementation of new… more
- Capital One (New York, NY)
- …mindset with working knowledge of regulatory requirements relevant to the bank's Broker Dealer ( SEC / FINRA ) and Swap Dealer (CFTC / NFA) activities. + Thought ... equal opportunity employer (EOE, including disability/vet) committed to non-discrimination in compliance with applicable federal, state, and local laws. Capital One… more
- US Bank (Milwaukee, WI)
- …conversions, de-conversions and fund liquidations. Researches shareholder requests to ensure compliance with SEC , STA, and internal policies and procedures. ... Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank… more
- Bank of America (Jersey City, NJ)
- …Dealer organization responsible for the preparation of Regulatory Reporting calculations ( SEC Rule 15c3-3) for locally regulated entities including broker dealers, ... Laws, Rules, and Regulations + Project Management + Regulatory Compliance + Stakeholder Management **Required Qualifications:** + Minimum 2...+ Previous experience in the financial services industry + FINRA Series 99 or 27 + CPA or equivalent… more
- Raymond James Financial, Inc. (Southfield, MI)
- …Monitors regulatory compliance with internal and external groups including auditors, FINRA , IRS, SEC and others. **Knowledge Of:** + Company's working ... structure, policies, mission, and strategies. + Project management methodology sufficient to act in a sponsorship role. + Principles of finance and securities industry operations. + Financial markets and products. + Performance management. **Skills:** + Act as… more
- US Bank (Milwaukee, WI)
- …and discover what you excel at-all from Day One. **Job Description** Prepares SEC regulatory and financial statement filings, Board of Directors' reporting and other ... assigned. Works with senior level Fund Administrators on regulatory compliance reporting for assigned mutual fund clients. Responsible for...positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the… more
- EPAM Systems (New York, NY)
- …to model-driven workflows + Understanding of regulatory frameworks (eg, NAIC, Solvency II, SEC , FINRA ) + Experience with DevOps tools (Jenkins, GitLab CI, ... event-driven architectures + SQL databases, real-time data processing + Security, compliance , and auditability within financial systems + Excellent communication and… more
- MetLife (New York, NY)
- …* Basic knowledge of investment products (eg, fixed income securities), SEC / FINRA regulations Equal Employment Opportunity/Disability/Veterans If you need an ... impactful results to stakeholders. Key Responsibilities * Conduct audits to ensure compliance with company policies and internal controls. * Draft and ensure… more
- HSBC (New York, NY)
- …guidance on regulations related to Liquidity Risk Management issued by FRB, OCC, FDIC, SEC , FINRA , Basel Committee on Banking Supervision + Participate in data ... processes + Bachelor's degree or equivalent at minimum; graduate degree a plus In compliance with applicable laws, HSBC is committed to employing only those who are… more
- Jackson National Life Insurance Company (Lansing, MI)
- …skills. + Understanding of security controls, risk management, and regulatory compliance (NIST CSF/SOX/GDPR/etc.). Other Duties + Extended hours, including on-call ... Asset Management, LLC (JNAM) located in Chicago, Illinois, is an SEC -registered investment adviser and Jackson subsidiary. Annuities are distributed by Jackson… more