Supervisory Securities Compliance Examiner jobs in New York

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DSRIP Audit & Compliance Manager, HC Performance Management
Public Consulting Group 48 reviews - New York, NY
Manage and provide oversight overall all audit functions surrounding the DSRIP program, including conducting risk assessments, performance audits, and financial...
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Compliance Examiner - Market Regulation, Trading & Financial...
Financial Industry Regulatory Authority (FINRA) 11 reviews - New York, NY
Securities, commodities or banking regulatory compliance and/or securities or commodities futures trading, accounting, auditing, and investigations with...
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Private Bank - Supervisory Manager - Vice President - New Yo...

JPMorgan Chase - Asset Management 3 reviews - New York, NY
The Supervisory Manager. Coordinate annual Compliance training for regional team with Private Banking Compliance....

Regulatory Audit and Client Engagements Team Analyst

Computing Concepts Inc - New York, NY
Regulatory supervisory processes. Prior experience in a federal regulatory agency as a bank examiner specializing in operational risk or information technology...

Field Examiner

Department of Veterans Affairs 1,249 reviews - Clinton, NY
Field Examiner PD# GS-093602A GS-11-35902A. Start and end times can be adjusted with supervisory approval. Conducts follow-up field examinations at intervals...

Securities Operations Supervisor II

M&T Bank 469 reviews - Buffalo, NY
Securities Operations Supervisor II. 2 years’ proven Securities operations experience. Perform Supervisory Principal functions in a manner that are compliant...

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...

Senior Member Relationship Advisor

AmeriCU Credit Union 8 reviews - Lowville, NY
Follow dual control procedures in order to maintain proper security and surveillance. Assist the Financial Center Manager with security tests and/or other...

Seasonal Teller

AmeriCU Credit Union 8 reviews - Cicero, NY
May assist the Supervisor, MSS II or Security MSS II with security tests and/or other duties as. Able to execute proper security procedures during robberies,...

Examiner - Member Regulation, Membership Application Program...

Finra 30 reviews - New York, NY
And supervisory and compliance policies, procedures, internal controls and systems to determine compliance with established standards and rule requirements....

CyberSecurity Senior Policy Analyst

M&T Bank 469 reviews - Amherst, NY
As periodic employee security awareness training and the published Information Security Program. Performs and oversees basic to complex security analysis,...

Compliance Examiner - Member Regulation, Membership Applicat...

Finra 30 reviews - New York, NY
And supervisory and compliance policies, procedures, internal controls and systems to determine compliance with established standards and rule requirements....

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