Supervisory Securities Compliance Examiner jobs in New York, NY

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Compliance Examiner, TFCE Options- Market Regulation- New Yo...

Finra - 46 reviews - New York, NY
Securities, commodities or banking regulatory compliance and/or securities or commodities futures trading with experience in:....

Broker Dealer Compliance

Two Sigma Investments, LLC. - New York, NY
Provide compliance advice. Build out compliance programs. Provide compliance support to the. Support, drafting written supervisory procedures, surveillance...

Senior Manager, Financial Accounting

Federal Home Loan Bank of NY - New York, NY
Exposure to derivatives and hedge accounting, and mortgage-backed securities. Work with external, internal auditors, the SOX team and FHFA Examiners to satisfy...

Corporate Financial Legal Assistant

Wegman Partners LLC - New York, NY 10118 (Chelsea area)
$55,000 a year
O Internal supervisory controls. Conduct compliance research related to credit rating agencies. Broad understanding of the securities industry, including trade...
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Asset Management - Private Bank - Supervisory Manager - Asso...

JPMorgan Chase - Asset Management - 11,739 reviews - New York, NY
Complete client reviews as outlined by Compliance procedures; Supervisory responsibilities will include (but are not limited to):....

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