All Posts tagged Regulatory

Head of Regulatory Compliance, Wealth Management – Refinitiv – Brookfield, WI

By bontrad 27 Jan, 2019 Trading Jobs Brookfield, Compliance, Head, Management, Refinitiv, Regulatory, Wealth

Subject matter expertise in securities industry compliance with a focus on back office regulatory issues (e.g., LOPR, Customer Protection, Net Capital, Large…
From Refinitiv – Sat, 26 Jan 2019 12:44:01 GMT – View all Brookfield, WI jobs

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Head of Capital Markets Non-Financial Regulatory Reporting Processes – Bank of America – Jersey City, NJ

By bontrad 10 Aug, 2017 Trading Jobs America, BANK, Capital, City, Head, Jersey, Markets, NonFinancial, Processes, Regulatory, Reporting

Escalating and resolving any potential reporting issues. Ability to analyze, determine, drive and build solutions independently and proactively….
From Bank of America – Thu, 27 Jul 2017 03:25:23 GMT – View all Jersey City, NJ jobs

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Regulatory Reporting Operations Specialis – RBC – Jersey City, NJ

By bontrad 14 Jul, 2017 Trading Jobs City, Jersey, Operations, Regulatory, Reporting, Specialis

The role consists of performing investigation and submission activities, as well as generation of metrics in order to report and drive down exceptions….
From RBC – Wed, 12 Jul 2017 16:12:22 GMT – View all Jersey City, NJ jobs

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Regulatory Response Group Professional – Morgan Stanley – New York, NY

By bontrad 29 Jun, 2017 Trading Jobs Group, Morgan, Professional, Regulatory, Response, Stanley, York

Interact directly with Business Unit personnel, sales traders/traders, technology personnel, external and internal counsel, operation personnel, compliance…
From Morgan Stanley – Wed, 28 Jun 2017 18:15:12 GMT – View all New York, NY jobs

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Regulatory Response Grup Professional – Morgan Stanley – New York, NY

By bontrad 29 Jun, 2017 Trading Jobs Grup, Morgan, Professional, Regulatory, Response, Stanley, York

Interact directly with Business Unit personnel, sales traders/traders, technology personnel, external and internal counsel, operation personnel, compliance…
From Morgan Stanley – Wed, 28 Jun 2017 18:15:12 GMT – View all New York, NY jobs

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Senior Specialist, Regulatory Operations Control Team – RBC – Jersey City, NJ

By bontrad 23 Mar, 2017 Trading Jobs City, Control, Jersey, Operations, Regulatory, Senior, Specialist, Team

Monitor and resolve key risks and issues in report generation through control framework updates. OATS, Bluesheets, TRACE, MSRB Submission, INSITE, , Rule 605…
From RBC – Thu, 23 Mar 2017 04:42:41 GMT – View all Jersey City jobs

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Front Office Modeling Infrastructure & Regulatory Affairs Strategist – Morgan Stanley – New York, NY

By bontrad 16 Mar, 2017 Trading Jobs Affairs, Front, Infrastructure, Modeling, Morgan, Office, Regulatory, Stanley, Strategist, York

Review and create documentation for the front office models and correct potential problems. Desk strategists are key participants, together with traders and…
From Morgan Stanley – Thu, 16 Mar 2017 22:09:50 GMT – View all New York jobs

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Associate, Regulatory Operations Production Reporting – RBC – Jersey City, NJ

By bontrad 18 Jan, 2017 Trading Jobs Associate, City, Jersey, Operations, Production, Regulatory, Reporting

We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual….
From RBC – Wed, 18 Jan 2017 17:41:27 GMT – View all Jersey City jobs

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Regulatory Reporting Analyst – E*TRADE FINANCIAL – Jersey City, NJ

By bontrad 28 Dec, 2016 Trading Jobs Analyst, City, eTrade, Financial, Jersey, Regulatory, Reporting

Assist with preparing monthly FOCUS Report and Daily customer reserve computations. Prepare other monthly regulatory reports as required by NYSE/NASD/NFA and…
From E*TRADE FINANCIAL – Wed, 28 Dec 2016 13:12:54 GMT – View all Jersey City jobs

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Compliance, Regulatory Reporting Group, Analyst – Jersey City – Goldman Sachs – Jersey City, NJ

By bontrad 22 Dec, 2016 Trading Jobs Analyst, City, Compliance, Goldman, Group, Jersey, Regulatory, Reporting, Sachs

Reporting of certain business activities including as broker-dealer, swap dealer or Futures Commission Merchant;…
From Goldman Sachs – Thu, 22 Dec 2016 00:40:11 GMT – View all Jersey City jobs

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