Live Chat
Contact
12345Previous page
Results based on filters ( 49 jobs found )

Compliance Analyst

Engineers Gate
New York, NY
Actions
Apply
Save to My Profile
See all jobs from this company
See who you know on LinkedIn
Report this job
Content : About the Role Engineers Gate (EG) is a leading quantitative ...
Details
Summary
About the job:
investment company focused on computer-driven trading in global financial markets. We are a team of researchers, engineers, and financial industry professionals using sophisticated statistical models to analyze data and identify predictive signals to generate superior investment returns. EG’s investment teams each focus on their independent strategies while utilizing the firm’s proprietary, state-of-the-art technology and data platform to optimize their alpha research. We are seeking a Compliance Analyst to support our...
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:
Registered Investment Advisor
Workkeys
Applied Math
5
Graphic Literacy
4
Workplace Documents
5
apply
Detailed Job Information

Principal Analyst, Regulatory Change Management and Compliance - MS Operations, Procedures and Standards - Any FINRA Location

Financial Industry Regulatory Authority, Inc.
New York, NY
Actions
Apply
Save to My Profile
See all jobs from this company
See who you know on LinkedIn
Report this job
This position is an experienced individual contributor in Member Supervision ...
Details
Summary
About the job:
Operations, Procedures and Standards (MS OPS), who works independently with minimal supervision to identify, assess, develop, implement, and maintain operations, procedures, standards, and reporting. This role will lead regulatory initiatives by partnering with key stakeholders, evaluate the program for areas of need/improvement, and resolve complex operational issues. The primary focus of this role is to perform regulatory impact assessments and facilitate change management for new and/or updated 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

Capital Markets Risk Supervising Examiner

02B Federal Reserve Bank of New York
New York, NY
Actions
Apply
Save to My Profile
See all jobs from this company
See who you know on LinkedIn
Report this job
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:
Six Figure Jobs (more than $100K)
Certifications / Licenses:
N/A
Workkeys
Applied Math
5
Graphic Literacy
4
Workplace Documents
4
apply
Detailed Job Information

Associate Principal Examiner - Any FINRA Location

Financial Industry Regulatory Authority, Inc.
New York, NY
Actions
Apply
Save to My Profile
See all jobs from this company
See who you know on LinkedIn
Report this job
To conduct risk-based examinations of FINRA member firms and registered ...
Details
Summary
About the job:
representatives. - Leads examinations of low, medium-low, and medium-high risk and complexity with moderate supervision - Conducts and memorializes discovery and risk reviews of low to medium-high risk and complexity - Serves as mentor to junior staff - Interviews firm personnel independently - Gathers regulatory intelligence using internal FINRA systems - Analyzes and evaluates firm records (financial statements, purchase and sales blotters, correspondence, etc.) and systems (order management systems, supervisory alert...
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:
Financial Industry Regulatory Authority
Workkeys
Applied Math
5
Graphic Literacy
4
Workplace Documents
4
apply
Detailed Job Information

Associate Principal Investigator, Enforcement

Financial Industry Regulatory Authority, Inc.
New York, NY
Actions
Apply
Save to My Profile
See all jobs from this company
See who you know on LinkedIn
Report this job
FINRA’s Department of Enforcement (Enforcement) is tasked with investigating ...
Details
Summary
About the job:
potential FINRA Rules and securities law violations and, when warranted, bringing formal disciplinary actions against firms and their associated persons. The Associate Principal Investigator performs investigative functions for non-complex securities cases in order to develop complete and factual investigative records and make meaningful contributions to more complex securities matters. Essential Job Functions: Develop a complete and accurate factual record with input from managers. - Determine and execute an...
Location:
New York, NY
Job Type:
Full-Time
Permanent
Occupation:
Financial Examiners
Career Level / Education:
Bachelor's degree
Salary:
Upper Middle Income Jobs ($50K-$79K)
Certifications / Licenses:
N/A
Workkeys
Applied Math
5
Graphic Literacy
4
Workplace Documents
4
apply
Detailed Job Information

Associate Principal Analyst, MRTS-CAT Reporting

Financial Industry Regulatory Authority, Inc.
New York, NY
Actions
Apply
Save to My Profile
See all jobs from this company
See who you know on LinkedIn
Report this job
This Associate Principal Analyst position within the Surveillance and Market ...
Details
Summary
About the job:
Intelligence section of Market Regulation is responsible for conducting routine surveillance reviews of moderate to high complexity 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 more complex assignments under the direction of more senior staff. Essential Job Functions: - Analyzes trading activity in area of primary responsibility for indications of potential violations. - Researches and provides internal...
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:
Certified Accounting Technician
Financial Industry Regulatory Authority
Workkeys
Applied Math
5
Graphic Literacy
4
Workplace Documents
4
apply
Detailed Job Information

리스크기획부 Risk Reporting Officer

Citigroup Inc.
New York, NY
Actions
Apply
Save to My Profile
See all jobs from this company
See who you know on LinkedIn
Report this job
The Assoc Fraud Ops Analyst is an entry level position responsible for ...
Details
Summary
About the job:
assisting in efforts to ensure fraud risk policy and controls are applied to minimize the impact of fraud incidence and prevent loss in coordination with the Fraud Operations team. The overall objective of this role is to assist in managing fraud losses by ensuring analysts make appropriate decisions using risk/reward balance methodology. Responsibilities: - Follow investigative standards for analytical assessments - Case/referral assignment based on level - Complete end to end internal investigative reports - Provide...
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

Principal Investigator, FINOP-NCP

Financial Industry Regulatory Authority, Inc.
New York, NY
Actions
Apply
Save to My Profile
See all jobs from this company
See who you know on LinkedIn
Report this job
FINRA’s National Cause Program (NCP) is charged with the investigation of ...
Details
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

Senior Analyst, MRTS-Insider Trading Detection, Options

Financial Industry Regulatory Authority, Inc.
New York, NY
Actions
Apply
Save to My Profile
See all jobs from this company
See who you know on LinkedIn
Report this job
This Senior Analyst position within the Surveillance and Market Intelligence ...
Details
Summary
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

KYC Analyst (Hybrid)

Inspyr Solutions
New York, NY
Actions
Apply
Save to My Profile
See all jobs from this company
See who you know on LinkedIn
Report this job
Title: KYC Analyst Location: NY, NY (Hybrid) Duration: 6+ months ...
Details
Summary
About the job:
Compensation: $35.00-$40.00/hour Work Requirements: US Citizen, GC Holders or Authorized to Work in the U.S. Responsibilities: -Prepare emails for client outreach for customer KYC profiles in accordance with established SLA timeframes and KYC procedures. -Follow guidance and instructions from designated GCIB Account Management team members on client outreach process, resolution of KYC issues and execution of other tasks, including but not limited to periodic and ad hoc KYC reassessments, new onboardings , FinCEN triggers,...
Location:
New York, NY
Job Type:
Full-Time
Contract
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
12345Previous page

Current Filters

Refine

Industry
Location
Salary
Career/Education Level
Certificates
Occupation
Job Type
Other Opportunities
Display Results

Clear All Filters
This user has no active resume. Please click here to manage resumes.
My OhioMeansJobs Notice
You have reached the maximum number of Saved Searches / Matches. You must remove an existing record before you can save a new one. Access your saved items here.
Confirm your search criteria, then select the frequency of your search and give it a name.
Location: New York
(Radius: Exact location only)
Occupation: Financial Examiners
Industry: Management of Companies and Enterprises
Show Corporate Sites Only
How often do you want to receive emails?
All fields are required




This field is required
Save
Search Jobs
Advanced close
Select up to 10 occupations
Add Occupations
...
  • x
x close
Loading Map, please wait...
Position is accurate to the ZIP Code or city location only.
Loading Map, please wait...