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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

Compliance Analyst

Neuberger Berman
New York, NY
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Responsibilities : - Work regularly with the CCO-Alternatives and ...
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Summary
About the job:
Alternatives Legal & Compliance team, as well as other divisional CCOs and legal staff, in developing and implementing policies and procedures for a registered investment adviser, with a specific emphasis on the Investment Advisers Act, the Investment Company Act, FINRA and related rules and regulations - Liaise calls between Alternatives business team members and (1) consultants provided by expert networks and (2) internal research analysts to ensure compliance with federal securities laws and company policies - Work closely...
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
3
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

Associate Principal Examiner - Any FINRA Location

Financial Industry Regulatory Authority, Inc.
New York, NY
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To conduct risk-based examinations of FINRA member firms and registered ...
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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 Analyst, MRTS-CAT Reporting

Financial Industry Regulatory Authority, Inc.
New York, NY
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This Associate Principal Analyst position within the Surveillance and Market ...
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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

Associate Principal Analyst, MRTS-Coordinated Trading

Financial Industry Regulatory Authority, Inc.
New York, NY
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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:
Financial Industry Regulatory Authority
Workkeys
Applied Math
5
Graphic Literacy
4
Workplace Documents
4
apply
Detailed Job Information

Associate Principal Analyst, MRTS-Customer Order Handling

Financial Industry Regulatory Authority, Inc.
New York, NY
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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:
Financial Industry Regulatory Authority
Workkeys
Applied Math
5
Graphic Literacy
4
Workplace Documents
4
apply
Detailed Job Information

Associate Principal Analyst, MRTS-Operational Reporting Requirements & 17d-2

Financial Industry Regulatory Authority, Inc.
New York, NY
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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:
Financial Industry Regulatory Authority
Workkeys
Applied Math
5
Graphic Literacy
4
Workplace Documents
4
apply
Detailed Job Information

Banking Compliance Analyst

Transperfect Translations
New York, NY
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TransPerfect Is More Than Just a Job… Our greatest asset is our people, and ...
Details
Summary
About the job:
nothing is more important to us than ensuring that everyone knows that. Each of our 100+ offices has its own individual identity, and each also has its own unique rewards. Who We Are: TransPerfect is the world's largest provider of language services and technology solutions for global business. From offices in over 100 cities on six continents, TransPerfect offers a full range of services in 170+ languages to clients worldwide. More than 5,000 global organizations employ TransPerfect's GlobalLink® technology to...
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

AML Alert Analyst Sr

Signature Bank
New York, NY
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Position Title AML Alert Analyst Sr Location Headquarters-Troy, MI Job ...
Details
Summary
About the job:
Summary An AML Senior Alert Analyst is responsible for maintaining certain aspects of the Bank's ML/CFT program and assists in meeting and maintaining BSA/AML compliance requirements of the Bank. Complies with all applicable, federal and state laws, regulations and guidance, including those related to Anti-Money Laundering (i.e. Bank Secrecy Act, USA PATRIOT Act, etc.), as well as adhering to the Bank’s policies and procedures to mitigate risk exposure to the Bank. Assigned to a team that is responsible for working with...
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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Salary: High Income Jobs ($80K-$99K)
Occupation: Financial Examiners
Industry: Government
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