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Principal Investigator, NCP - Any FINRA Location

Financial Industry Regulatory Authority, Inc.
New York, NY
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FINRA’s National Cause Program (NCP) is charged with the investigation of ...
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Summary
About the job:
cause matters involving potential fraud or other serious misconduct from various sources, including regulatory filings, investor complaints, tips, referrals, and other regulatory sources. The Principal Investigator, NCP, is responsible for (1) conducting extensive background searches of FINRA member firms and registered representatives in support of open FINRA investigations in the NCP; (2) providing subject matter expertise throughout the course of Cause investigations, in proactively identifying risk using various...
Location:
New York, NY
Job Type:
Full-Time
Permanent
Occupation:
Financial Examiners
Career Level / Education:
Bachelor's degree
Salary:
Six Figure Jobs (more than $100K)
Certifications / Licenses:
Financial Industry Regulatory Authority
Workkeys
Applied Math
5
Graphic Literacy
4
Workplace Documents
4
apply
Detailed Job Information

Investment Advisory Compliance

Jennison Associates LLC
New York, NY
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Job Details Description Job Title Investment Adviser Compliance Who We Are ...
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About the job:
Jennison Associates is a global investment management firm with over $194 billion in Assets under Management spanning across a range of various equity and fixed income investment strategies. Jennison was founded in 1969 on the principle that doing what’s best for clients will always be right for the business. Grounded in our firm values of integrity, collaboration and client focus, the mission across all areas of our firm is to deliver superior long-term investment returns and excellence in client service. This...
Location:
New York, NY
Job Type:
Full-Time
Permanent
Occupation:
Financial Examiners
Career Level / Education:
Bachelor's degree
Salary:
Six Figure Jobs (more than $100K)
Certifications / Licenses:
Financial Industry Regulatory Authority
FINRA Series 7
Workkeys
Applied Math
3
Graphic Literacy
4
Workplace Documents
4
apply
Detailed Job Information

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

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: - Oversee ongoing supervisory efforts of operational risk activities. - Manage team(s) of assisting personnel during supervisory activities. - Plan, coordinate, and monitor operational risk supervisory activities which includes assessing risk, developing supervisory strategies and determining the scope of supervisory activities. - Prepare communications to foster positive changes within the bank. Prepare reports of activities and develop responses to address...
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:
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

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 Enterprise Risk Management (ERM)/Governance, you will: - Oversee ongoing supervisory efforts of ERM/Governance activities. - Manage team(s) of assisting personnel during supervisory activities. - Plan, coordinate, and monitor ERM/Governance supervisory activities which includes assessing risk, developing supervisory strategies and determining the scope of supervisory activities. - Prepare communications to foster positive changes within the bank and prepare reports of activities and...
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:
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

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 Bank Secrecy Act/Anti-Money Laundering, you will: - Oversee ongoing supervisory efforts of BSA/AML activities. - Plan, coordinate, and monitor BSA/AML supervisory activities, including identifying and communicating risk issues, developing supervisory strategies and determining the scope of supervisory activities. - Provide leadership and training to other examiners and may instruct at formal schools. - Manage teams of assisting personnel during BSA/AML supervisory activities. - Prepare...
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:
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

Department of the Treasury
New York, NY
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Help Help Duties As a National Bank Examiner/Bank Examiner (Large Banks ...
Details
Summary
About the job:
Field Examiner) with emphasis in Bank Secrecy Act/Anti-Money Laundering (BSA/ AML), you will: - Oversee ongoing supervisory efforts of BSA/AML activities and manage team(s) of assisting personnel during supervisory activities. - Plan, coordinate, and monitor supervisory activities, including assessing risk, developing supervisory strategies, determining the scope of supervisory activities, and managing teams of assisting personnel. - Conduct or participate in discussions with large bank management on findings and...
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:
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

Department of the Treasury
New York, NY
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Help Help Duties As a National Bank Examiner/Bank Examiner (Large Bank Field ...
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Summary
About the job:
Examiner) with emphasis in Compliance, you will: - Conduct and assist in the supervision of compliance activities at large banks. - Plan, coordinate, and monitor supervisory activities, including assessing risk, developing supervisory strategies, determining the scope of supervisory activities and manage teams of assisting personnel. - Conduct or participate in discussions with large bank management on findings and recommendations. - Prepare communications to foster positive changes within the bank. - Maintain...
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:
N/A
Workkeys
Applied Math
5
Graphic Literacy
4
Workplace Documents
4
apply
Detailed Job Information

Client Experience Associate

HSBC
New York, NY
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HSBC $44,400.00 and $66,600.00. United States, New York, New York April 20, ...
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About the job:
2024 Job description Our purpose - Opening up a world of opportunity - explains why we exist. Here at HSBC we use our unique expertise, capabilities, breadth and perspectives to open up new kinds of opportunity for our more than 40 million customers. We're bringing together the people, ideas and capital that nurture progress and growth, helping to create a better world - for our customers, our people, our investors, our communities and the planet we all share. Supports retail operational, service, accounting and...
Location:
New York, NY
Job Type:
Full-Time
Permanent
Occupation:
Financial Examiners
Career Level / Education:
High school diploma or equivalent
Salary:
Upper Middle Income Jobs ($50K-$79K)
Certifications / Licenses:
N/A
Workkeys
Applied Math
4
Graphic Literacy
4
Workplace Documents
4
apply
Detailed Job Information

BSA/AML Compliance Risk Supervising Examiner

02B Federal Reserve Bank of New York
New York, NY
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Company Federal Reserve Bank of New York Working at the Federal Reserve Bank ...
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Summary
About the job:
of New York positions you at the center of the financial world with a unique perspective on national and international markets and economies. You will work in an environment with a diverse group of experienced professionals to foster and support the safety, soundness, and vitality of our economic and financial systems. The Bank believes in work flexibility to balance the demands of work and life while also connecting and collaborating with our colleagues in person. Employees can expect to be in the office a couple of...
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

Investigator, Financial Crimes - USDS

TikTok
New York, NY
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Responsibilities About TikTok U.S. Data Security TikTok is the leading ...
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Summary
About the job:
destination for short-form mobile video. Our mission is to inspire creativity and bring joy. U.S. Data Security (“USDS”) is a subsidiary of TikTok in the U.S. This new, security-first division was created to bring heightened focus and governance to our data protection policies and content assurance protocols to keep U.S. users safe. Our focus is on providing oversight and protection of the TikTok platform and U.S. user data, so millions of Americans can continue turning to TikTok to learn something new, earn a living,...
Location:
New York, NY
Job Type:
Full-Time
Permanent
Occupation:
Financial Examiners
Career Level / Education:
Bachelor's degree
Salary:
High Income Jobs ($80K-$99K)
Certifications / Licenses:
N/A
Workkeys
Applied Math
5
Graphic Literacy
4
Workplace Documents
4
apply
Detailed Job Information
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Occupation: Financial Examiners
Industry: Finance and Insurance
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