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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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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

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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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

Principal Investigator, Specialist Team - Any Finra Location

Financial Industry Regulatory Authority, Inc.
New York, NY
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The Principal Investigator, Specialist Teams, conducts high complexity ...
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About the job:
routine and special investigations of FINRA member firms; investigates potentially suspicious activities of persons associated with FINRA member firms; and provides guidance to Member Supervision staff on their complex assignments. This position proactively surveilles the industry and identifies fraudulent conduct occurring at, by, or through FINRA member firms or registered representatives. This is an expert level, professional position that requires an expanded skillset, limited guidance and minimal supervision, and...
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

Senior Analyst, Surveillance and Market Intelligence

Financial Industry Regulatory Authority, Inc.
New York, NY
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This Senior Analyst position within the Surveillance and Market Intelligence ...
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About the job:
section of Market Regulation is responsible for conducting routine surveillance reviews to identify unusual market activity for evidence of violations of applicable federal securities, FINRA and/or RSA client rules and regulations and may work on special projects under the direction of more senior staff. Essential Job Functions: - Assists with analyzing trading activity in area of primary responsibility for indications of potential violations. - Drafts summaries of internal updates regarding rules, regulations,...
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

Consumer Compliance 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 ...
Details
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:
High Income Jobs ($80K-$99K)
Certifications / Licenses:
N/A
Workkeys
Applied Math
5
Graphic Literacy
4
Workplace Documents
4
apply
Detailed Job Information

Corporate Banking Compliance Officer, AVP

MUFG Americas
New York, NY
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Do you want your voice heard and your actions to count? Discover your ...
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About the job:
opportunity with Mitsubishi UFJ Financial Group (MUFG), the 7th largest financial group in the world. Across the globe, we’re 120,000 colleagues, striving to make a difference for every client, organization, and community we serve. We stand for our values, building long-term relationships, serving society, and fostering shared and sustainable growth for a better world. With a vision to be the world’s most trusted financial group, it’s part of our culture to put people first, listen to new and diverse ideas and collaborate...
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:
Chartered Financial Analyst
Workkeys
Applied Math
5
Graphic Literacy
4
Workplace Documents
4
apply
Detailed Job Information

Praktyki Letnie w Zespole Sprawozdawczości Ostrożnościowej

Citigroup Inc.
New York, NY
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The Testing and Monitoring Director will support the Head of RRP ...
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About the job:
Non-Financial Capabilities, Controls, and Testing in defining and maintaining the testing framework, guidance, and test plan for capability testing and monitoring. They will develop standardized testing templates and collaborate with Accountable Executives (AEs) to ensure testing is comprehensive across each sub-capability in accordance with the testing framework and prescribed key testing attributes. Responsibilities - Define and maintain the testing framework, guidance, and test plan for capability testing and monitoring -...
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:
N/A
Workkeys
Applied Math
5
Graphic Literacy
4
Workplace Documents
4
apply
Detailed Job Information

Examinations- Variable Annuities-Member Supervision - Any Finra Location

Financial Industry Regulatory Authority, Inc.
New York, NY
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Mission-driven, Mission-delivered. FINRA aims to make an impact. Apply now ...
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Summary
About the job:
for an exciting opportunity to join our Firm Examinations Team, focusing on Financial and Operational risks. Grow your career by leveraging your financial industry or legal experience to conduct risk-based examinations of FINRA Member firms. Our Examinations Program is a critical component of FINRA’s regulatory operations and one of the primary means by which we oversee the activities of our member firms. We take a risk-based approach to our oversight, with the goal of detecting, deterring, or addressing activities...
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

Global Financial Crimes Specialist

Bank of America Corporation
New York, NY
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Job Description: At Bank of America, we are guided by a common purpose to ...
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About the job:
help make financial lives better through the power of every connection. Responsible Growth is how we run our company and how we deliver for our clients, teammates, communities and shareholders every day. One of the keys to driving Responsible Growth is being a great place to work for our teammates around the world. We’re devoted to being a diverse and inclusive workplace for everyone. We hire individuals with a broad range of backgrounds and experiences and invest heavily in our teammates and their families by offering...
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:
FINRA Series 7
Certified Financial Examiner
Certified Fraud Examiner
Chartered Asset Manager
Workkeys
Applied Math
5
Graphic Literacy
4
Workplace Documents
4
apply
Detailed Job Information

Compliance Surveillance Intermediate Analyst (B11) - Personal Trading and Outside Activities (Hybrid)

Citigroup Inc.
New York, NY
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The Campus Recruiter will be responsible for ensuring that the highest ...
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Summary
About the job:
caliber candidates are attracted to Citi through appropriate on campus marketing and effective screening of candidates. This role will manage the on-campus efforts for a select group of target schools for both summer and full-time recruiting and support the Investment Banking Summer Associate program. Responsibilities include, but are not limited to: - Work with school teams to create on-campus strategy at assigned target schools. Coordination of all on-campus and in-house activities for schools including company...
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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Location: New York
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Occupation: Financial Examiners
Industry: Management of Companies and Enterprises
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