Head of Regulatory Compliance, Wealth Management - Refinitiv - Brookfield, WI
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 View full post on Trader Jobs | Indeed.com
Head of Capital Markets Non-Financial Regulatory Reporting Processes - Bank of America - Jersey City, NJ
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 View full post on Trader Jobs | Indeed.com
Regulatory Reporting Operations Specialis - RBC - Jersey City, NJ
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 View full post on Trader Jobs | Indeed.com
Regulatory Response Group Professional - Morgan Stanley - New York, NY
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 View full post on Trader Jobs | Indeed.com
Regulatory Response Grup Professional - Morgan Stanley - New York, NY
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 View full post on Trader Jobs | Indeed.com
Senior Specialist, Regulatory Operations Control Team - RBC - Jersey City, NJ
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 View full post on Trader Jobs | Indeed.com
Front Office Modeling Infrastructure & Regulatory Affairs Strategist - Morgan Stanley - New York, NY
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 View full post on Trader Jobs | Indeed.com
Associate, Regulatory Operations Production Reporting - RBC - Jersey City, NJ
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 View full post on Trader Jobs | Indeed.com
Regulatory Reporting Analyst - E*TRADE FINANCIAL - Jersey City, NJ
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 View full post on Trader Jobs | Indeed.com
Compliance, Regulatory Reporting Group, Analyst - Jersey City - Goldman Sachs - Jersey City, NJ
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 View full post on Trader Jobs | Indeed.com