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FINRA Legal Extern, Enforcement (UNPAID) - FALL 2024 SEMESTER

Financial Industry Regulatory Authority, Inc.
New York, NY
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Legal externs work closely with Enforcement’s attorneys, investigators and ...
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Summary
About the job:
management to assist Enforcement in investigating and determining whether FINRA regulated firms and/or associated individuals violated the federal securities laws or FINRA, or MSRB rules. Externs perform a variety of tasks including legal research and writing, and document review, as well as assisting staff to prepare for on-the-record testimony. Externs also have the opportunity to observe on-the-record interviews and settlement negotiations, and to attend departmental meetings and participate in trainings designed to...
Location:
New York, NY
Job Type:
Part-Time
Full-Time
Permanent
Occupation:
Financial Examiners
Career Level / Education:
Bachelor's degree
Salary:
High Income Jobs ($80K-$99K)
Certifications / Licenses:
Financial Industry Regulatory Authority
Workkeys
Applied Math
5
Graphic Literacy
4
Workplace Documents
4
apply
Detailed Job Information

NBE/BE (LB Field Examiner) with emphasis in Operational Risk, NB-0570-VI

Office of the Comptroller of the Currency
New York, NY
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Summary As a National Bank Examiner/Bank Examiner (Large Banks Field ...
Details
Summary
About the job:
Examiner) with emphasis in Operational Risk, you will participate in the planning and conducting of examinations, preparation of reports and presentation of findings and recommendations to senior managers. Large Bank Supervision New York, NY-Alternate Location and Relocation Incentive available. Learn more about this agency Help This job is open to - Internal to an agency Current federal employees of this agency. Clarification from the agency Applications will only be accepted from current OCC employees on permanent...
Location:
New York, NY
Job Type:
Part-Time
Full-Time
Permanent
Temporary
Occupation:
Financial Examiners
Career Level / Education:
Bachelor's degree
Salary:
Six Figure Jobs (more than $100K)
Certifications / Licenses:
Security clearance
Workkeys
Applied Math
5
Graphic Literacy
4
Workplace Documents
4
apply
Detailed Job Information

NBE/BE (LB Field Examiner) with emphasis in Operational Risk, NB-0570-VI

Department of the Treasury
New York, NY
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Help Help Duties As a National Bank Examiner/ Bank Examiner (Large Banks ...
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Summary
About the job:
Field Examiner) with emphasis in Operational Risk, you will: - Plan, organize, and control operational risk supervisory activities in large banks. - Identify systemic risks and trends through evaluation of operational risk management/framework activities and operations. - Develop supervisory strategies including plans to effect corrective action and programs to monitor bank progress using a risk-based approach. - Identify and resolve problems or issues that impact both short- and long-range strategic agency objectives. -...
Location:
New York, NY
Job Type:
Part-Time
Full-Time
Permanent
Occupation:
Financial Examiners
Career Level / Education:
Bachelor's degree
Salary:
Six Figure Jobs (more than $100K)
Certifications / Licenses:
Security clearance
Workkeys
Applied Math
5
Graphic Literacy
4
Workplace Documents
4
apply
Detailed Job Information

Commercial Broker Dealer Compliance Advisor - Senior Manager

Capital One Financial Corp.
New York, NY
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Overview Center 2 (19050), United States of America, McLean, Virginia ...
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Summary
About the job:
Commercial Broker Dealer Compliance Advisor - Senior Manager The Compliance Advisor Senior Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer. This role will support three institutional FINRA registered broker dealers and provide compliance support the Capital Markets line of business, a division within the Commercial Bank of Capital One, as necessary. The broker dealers being supported include Capital One Securities, Inc., KippsDeSanto & Co., TripleTree, LLC. (collectively "Commercial...
Location:
New York, NY
Job Type:
Part-Time
Full-Time
Permanent
Occupation:
Financial Examiners
Career Level / Education:
High school diploma or equivalent
Salary:
Six Figure Jobs (more than $100K)
Certifications / Licenses:
LPIC-3 304: Virtualization and High Availability
Financial Industry Regulatory Authority
FINRA Series 7
FINRA Series 24
Compliance Management Program
Workkeys
Applied Math
4
Graphic Literacy
5
Workplace Documents
6
apply
Detailed Job Information

NBE/BE (LB Field Examiner) with emphasis in BSA/AML, NB-0570-V

Office of the Comptroller of the Currency
New York, NY
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Summary As a National Bank Examiner/Bank Examiner (Large Banks Field ...
Details
Summary
About the job:
Examiner) with emphasis in Bank Secrecy Act/Anti-Money Laundering (BSA/ AML), you will conduct and assist in the supervision of national banks and/or large financial institutions to carry out national and bank supervision objectives. Large Bank Supervision New York, NY Pittsburgh, PA Learn more about this agency Help This job is open to - The public U.S. Citizens, Nationals or those who owe allegiance to the U.S. Clarification from the agency U.S. Citizens and U.S. Nationals. No prior federal service is required. Help Duties...
Location:
New York, NY
Job Type:
Part-Time
Full-Time
Permanent
Temporary
Occupation:
Financial Examiners
Career Level / Education:
Bachelor's degree
Salary:
Six Figure Jobs (more than $100K)
Certifications / Licenses:
N/A
Workkeys
Applied Math
5
Graphic Literacy
4
Workplace Documents
4
apply
Detailed Job Information

NBE/BE (LB Field Examiner) with emphasis in Operational Risk, NB-0570-V

Office of the Comptroller of the Currency
New York, NY
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Summary As a National Bank Examiner/Bank Examiner (Large Banks Field ...
Details
Summary
About the job:
Examiner) with emphasis in Operational Risk, you will be responsible for supervisory oversight requiring extensive investigation for the operational risk functional specialty area. Large Bank Supervision New York, NY Pittsburgh, PA Learn more about this agency Help This job is open to - The public U.S. Citizens, Nationals or those who owe allegiance to the U.S. Clarification from the agency U.S. Citizens and U.S. Nationals. No prior federal service is required. Help Duties As a National Bank Examiner/Bank Examiner (Large...
Location:
New York, NY
Job Type:
Part-Time
Full-Time
Permanent
Temporary
Occupation:
Financial Examiners
Career Level / Education:
Bachelor's degree
Salary:
Six Figure Jobs (more than $100K)
Certifications / Licenses:
N/A
Workkeys
Applied Math
5
Graphic Literacy
4
Workplace Documents
4
apply
Detailed Job Information

NBE/BE (LB Field Examiner) with emphasis in ERM/Governance, NB-570-V

Office of the Comptroller of the Currency
New York, NY
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Summary As a National Bank Examiner/Bank Examiner (Large Banks Field ...
Details
Summary
About the job:
Examiner) with emphasis in Enterprise Risk Management (ERM)/Governance, you will conduct and assist in the supervision of national banks and/or large financial institutions to carry out national and bank supervision objectives. Large Bank Supervision McLean, VA New York, NY Learn more about this agency Help This job is open to - The public U.S. Citizens, Nationals or those who owe allegiance to the U.S. Clarification from the agency U.S. Citizens and U.S. Nationals. No prior federal service is required. Help Duties As a...
Location:
New York, NY
Job Type:
Part-Time
Full-Time
Permanent
Temporary
Occupation:
Financial Examiners
Career Level / Education:
Bachelor's degree
Salary:
Six Figure Jobs (more than $100K)
Certifications / Licenses:
N/A
Workkeys
Applied Math
5
Graphic Literacy
4
Workplace Documents
4
apply
Detailed Job Information

NBE/BE (LB Field Examiner) with emphasis in BSA/AML, NB-0570-V.2

Office of the Comptroller of the Currency
New York, NY
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Summary As a National Bank Examiner/Bank Examiner (Large Banks Field ...
Details
Summary
About the job:
Examiner) with emphasis in Bank Secrecy Act/Anti-Money Laundering (BSA/ AML), you will conduct and assist in the supervision of national banks and carry out national bank supervision objectives in more challenging bank environments. Large Bank Supervision New York, NY Pittsburgh, PA Learn more about this agency Help This job is open to - The public U.S. Citizens, Nationals or those who owe allegiance to the U.S. Clarification from the agency U.S. Citizens and U.S. Nationals. No prior federal service is required. Help Duties...
Location:
New York, NY
Job Type:
Part-Time
Full-Time
Permanent
Temporary
Occupation:
Financial Examiners
Career Level / Education:
Bachelor's degree
Salary:
Six Figure Jobs (more than $100K)
Certifications / Licenses:
N/A
Workkeys
Applied Math
5
Graphic Literacy
4
Workplace Documents
4
apply
Detailed Job Information

NBE/BE (LB Field Examiner) with emphasis in Compliance, NB-570-V

Office of the Comptroller of the Currency
New York, NY
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Summary As a National Bank Examiner/Bank Examiner (Large Bank Field ...
Details
Summary
About the job:
Examiner) with emphasis in Compliance, you will be responsible for supervisory oversight requiring extensive investigation for the compliance functional specialty area. Large Bank Supervision Cleveland, OH McLean, VA New York, NY Pittsburgh, PA Learn more about this agency Help This job is open to - The public U.S. Citizens, Nationals or those who owe allegiance to the U.S. Clarification from the agency U.S. Citizens and U.S. Nationals. No prior federal service is required. Help Duties As a National Bank Examiner/Bank...
Location:
New York, NY
Job Type:
Part-Time
Full-Time
Permanent
Temporary
Occupation:
Financial Examiners
Career Level / Education:
Bachelor's degree
Salary:
Six Figure Jobs (more than $100K)
Certifications / Licenses:
N/A
Workkeys
Applied Math
5
Graphic Literacy
4
Workplace Documents
4
apply
Detailed Job Information

Anti-Money Laundering (AML) Sr. Investigator I

Capital One Financial Corp.
New York, NY
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Overview West Creek 3 (12073), United States of America, Richmond, Virginia ...
Details
Summary
About the job:
Anti-Money Laundering (AML) Sr. Investigator I The Enhanced Due Diligence (EDD) Sr. Investigator I supports various Enhanced Due Diligence (EDD) functions which will primarily focus on EDD High Risk Customer reviews across the Capital One enterprise. The EDD Sr. Investigator I will work closely with EDD management across all sites to perform other critical projects on an ad hoc basis. Responsibilities: - Subject matter expertise in all Capital One lines of business - Proficiency in completing high quality EDD High...
Location:
New York, NY
Job Type:
Part-Time
Full-Time
Permanent
Occupation:
Financial Examiners
Career Level / Education:
Bachelor's degree
Salary:
High Income Jobs ($80K-$99K)
Certifications / Licenses:
LPIC-3 304: Virtualization and High Availability
Workkeys
Applied Math
5
Graphic Literacy
4
Workplace Documents
4
apply
Detailed Job Information
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Job Type: Part-time
Occupation: Financial Examiners
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