Vice President, Assistant General Counsel - Retirement LPL Financial ServicesVice President, Assistant General Counsel - RetirementNew York, NY$168,611–$281,087 / yearResponsibilities: Advise on impacts of new and changing regulations affecting the retirement business of a broker-dealer, investment advisor, custodian and record keeper, in particular, regulatory developments from the Department of Labor (DOL), Internal Revenue Service (IRS), the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA) and state regulators. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses.
Documentation Negotiator - Institutional Equity Division - Associate Morgan StanleyDocumentation Negotiator - Institutional Equity Division - AssociateNew York, NY$100,000–$150,000 / yearPosition Description: The Stanley's Institutional Equity Division (IED) Documentation team is currently looking for a trading agreement negotiator, responsible for handling all relationship level trading agreements, including, but not limited to equity derivatives, prime brokerage, securities lending, confidentiality agreements, Futures agreements, listed options agreements, OTC clearing agreements, ISDA Master Agreement and CSA as well as equity Master Confirmation Agreements. Job Responsibilities: Negotiate full suite of trading agreements including, but not limited to, ISDA Master Agreements and Credit Support Annexes, stock loan, prime brokerage agreements, listed derivative trading agreements, OTC clearing agreements, tri-party control agreements, master confirm agreements, confidentiality agreements, electronic trading agreements and other trading-related agreements.
Credit Risk Management - Hedge Funds / Private Equity Nomura Holdings IncCredit Risk Management - Hedge Funds / Private EquityNew York, NY$160,000–$200,000 / yearBy connecting markets East & West, Nomura services the needs of individuals, institutions, corporates and governments through its three business divisions: Retail, Wholesale (Global Markets and Investment Banking), and Investment Management. The candidate will be responsible for independently managing and monitoring exposure to a dedicated portfolio of counterparties generated by activities including OTC derivatives, securities financing, prime brokerage, loan agreements, and other kinds of structured or bespoke transactions.
Credit Risk Management - Executive Director, Americas Team Lead, Hedge Funds + Private Equity Nomura Holdings IncCredit Risk Management - Executive Director, Americas Team Lead, Hedge Funds + Private EquityNew York, NY$220,000–$260,000 / yearCollaborate with Front Office Risk and other risk functions to understand stress loss scenarios; perform ongoing monitoring including monthly/quarterly NAV reviews, performance attribution analysis, and proactive identification of deteriorating credit quality; review credit limit breaches and recommend appropriate credit actions when risk appetite thresholds are exceeded. Review and approve credit memos, ratings and limits under delegated authority; assess creditworthiness of hedge funds and private equity funds through comprehensive analysis of fund strategy, performance attribution, liquidity profile, leverage, and manager or sponsor strength.
Manager, Futures Regulatory Compliance moomooManager, Futures Regulatory ComplianceJersey City, NJ$135,000–$165,000 / yearServe as a primary Compliance coordinator and subject matter expert for regulatory examinations, audits, investigations, and information requests involving the firm’s futures business, including matters involving the CFTC, NFA, CME Group and other applicable exchanges and regulatory authorities. The Manager will coordinate regulatory responses, support examination readiness, maintain required documentation, and partner with Compliance, Futures Operations, Risk, Technology, Finance, Legal, AML, and business teams to address futures regulatory obligations.
Director, Compliance Regulatory moomooDirector, Compliance RegulatoryJersey City, NJ$190,000–$230,000 / yearGenerous Paid Time Off & Paid Holidays: Take the time you need to recharge and pursue your passions with our generous paid time off policyOpportunities for Professional Growth & Development: Invest in your future through hands-on learning, skill-building, and cross-functional workPerformance Based Bonuses: Your hard work deserves recognition! Enjoy performance-based bonuses that reward your contributions to our team's success Base pay for a successful applicant will depend on a variety of job-related factors, which may include education, training, experience, location, business needs, or market demands.
Manager - Capital Markets Surveillance DeloitteManager - Capital Markets SurveillanceStamford, CTFull timeStrong working knowledge of a range of financial services and / or securities-related business models, products, and services particular to the applicable industry, including deep understanding of traded asset classes and products, and related data (Orders, executions, RFQs, Market Data, etc.). A minimum of 8+ years working in the financial services or consulting industry related to any of the following Financial Services/capital markets industries: investment banking, broker-dealer, prime brokerage, wealth management, or related technology service provider.
Vice President, Trading Surveillance Compliance moomooVice President, Trading Surveillance ComplianceJersey City, NJ$120,000–$160,000 / yearstands at the forefront of financial services, housing two SEC registered broker-dealers alongside a cryptocurrency brokerage — all operating under the reputable wing of Futu Holdings Limited (Nasdaq: FUTU). The Vice President, Trading Surveillance will be responsible for monitoring, investigating, and escalating potential market abuse and regulatory violations across multiple asset classes.
VP, Regulatory Finance moomooVP, Regulatory FinanceJersey City, NJ$200,000–$250,000 / yearThe VP, Regulatory Reporting is responsible for ensuring compliance with SEC, FINRA, CFTC, NFA, NMLS and state requirement, and applicable financial responsibility rules, including net capital, customer daily reserve computation, daily segregation/secured/swaps computation, FOCUS filings to FINRA and NFA, MSB Call Reporting and regulatory reporting requirements. The VP, Regulatory Reporting will oversee the firm’s regulatory financial reporting framework, support financial operations across affiliated U.S. entities, maintain strong internal controls, and serve as a key partner during regulatory examinations and financial audits.
Financial Customer Experience Associate - Licensed moomooFinancial Customer Experience Associate - LicensedNew York, NY$55,000–$100,000 / yearstands at the forefront of financial services, housing two SEC registered broker-dealers alongside a cryptocurrency brokerage — all operating under the reputable wing of Futu Holdings Limited (Nasdaq: FUTU). Financial Expertise - Learn and maintain a deep understanding of moomoo's history, mission, product features, trading tools, and customer promotions to effectively communicate value to clients.
Director Capital Markets Management Consulting NTT DATA Services, LLCDirector Capital Markets Management ConsultingNY$214,560–$357,600 / yearThis role will focus on identifying new opportunities, building senior client relationships, shaping transformation-led solutions, and accelerating growth across capital markets clients including investment banks, broker-dealers, asset managers, exchanges, and financial market infrastructure firms. We are seeking a strategic and growth-oriented Business Acceleration Growth Lead with strong Capital Markets experience to drive business expansion, revenue growth, and client engagement in the New York financial services market.
Chief Compliance Officer (CCO) for Truist Investment Services, Inc. and Truist Advisory Services, Inc. Truist Financial CorpChief Compliance Officer (CCO) for Truist Investment Services, Inc. and Truist Advisory Services, Inc.New York, NY$200,000–$290,000 / yearRIA expertise and coordination: Provide compliance leadership for advisory activities within an SEC-registered RIA framework (including Advisers Act obligations such as disclosures, conflicts management, Code of Ethics oversight, and best execution), and coordinate broker-dealer/RIA requirements to promote consistent client outcomes and a cohesive control environment. Please review the following job description: The Chief Compliance Officer (CCO) for Truist Investment Services, Inc. and Truist Advisory Services, Inc. is responsible for leading an integrated broker-dealer and SEC-registered registered investment adviser (RIA) compliance program and serving as the primary regulatory-facing executive for the firms.
Senior Manager, Internal Sales & Service Support TD BankSenior Manager, Internal Sales & Service SupportNew York, New YorkThe role leads teams supporting advisor and client needs including new account onboarding, money movement, wires, account maintenance, transactional processing, client communications, cash management, call center operations, and frontline service escalation management. Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition.
US Banks Business Control Unit (BCU) Officer Bank Deposits Risk Coverage Vice President Morgan StanleyUS Banks Business Control Unit (BCU) Officer Bank Deposits Risk Coverage Vice PresidentPurchase, New York$110,000–$190,000 / yearWealth Management provides a comprehensive array of financial services and solutions to individual investors and small to medium-sized businesses and institutions covering: financial advisor-led brokerage and investment advisory services; self-directed brokerage services; financial and wealth planning services; workplace services including stock plan administration; annuity and insurance products; securities-based lending, residential real estate loans and other lending products; banking; and retirement plan services. The VP will lead and mature the dedicated Business Risk coverage of Bank Deposit products – i.e. BDP Sweeps, Savings, and Term Deposits, and partner with embedded risk teams and key stakeholders to drive consistent monitoring and escalation across core risk frameworks (e.g., Issues/Action Plans, Operational Risk Incidents, Metrics, Reporting, Risk Assessments).
US Banks Business Control Unit (Bcu) Officer Bank Deposits Risk Coverage Vice President Morgan StanleyUS Banks Business Control Unit (Bcu) Officer Bank Deposits Risk Coverage Vice PresidentPurchase, NY$110,000–$190,000 / yearWealth Management provides a comprehensive array of financial services and solutions to individual investors and small to medium-sized businesses and institutions covering: financial advisor-led brokerage and investment advisory services; self-directed brokerage services; financial and wealth planning services; workplace services including stock plan administration; annuity and insurance products; securities-based lending, residential real estate loans and other lending products; banking; and retirement plan services. The VP will lead and mature the dedicated Business Risk coverage of Bank Deposit products - i.e. BDP Sweeps, Savings, and Term Deposits, and partner with embedded risk teams and key stakeholders to drive consistent monitoring and escalation across core risk frameworks (e.g., Issues/Action Plans, Operational Risk Incidents, Metrics, Reporting, Risk Assessments).
Head Of Corporate Shared Services Technology, MD (C16) Citigroup Inc.Head Of Corporate Shared Services Technology, MD (C16)New York, NY$250,000–$500,000 / yearIt is responsible for all non-client-facing operations, including- Cash Services (Payroll & Supplier Strategy, Cash Management, Bank Network Management, Payment Controls & Processing Risk and Client Asset Oversight), as well as Balance sheet substantiation and Reconciliation, Non-Financial. We provide consumers, corporations, governments, and institutions with a broad range of financial products and services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management.
Head of Corporate Shared Services Technology, MD (C16) Citigroup IncHead of Corporate Shared Services Technology, MD (C16)New York, NY$250,000–$500,000 / yearIt is responsible for all non-client-facing operations, including - Cash Services (Payroll & Supplier Strategy, Cash Management, Bank Network Management, Payment Controls & Processing Risk and Client Asset Oversight), as well as Balance sheet substantiation and Reconciliation, Non-Financial. We provide consumers, corporations, governments, and institutions with a broad range of financial products and services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management.
Digital Assets Portfolio Enablement And Governance, Vice President Morgan StanleyDigital Assets Portfolio Enablement And Governance, Vice PresidentPurchase, NY$110,000–$190,000 / yearOur values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren't just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. WM Platforms consists of ten sub-teams including: Field Experience & Platforms, Digital Client Experience & Platforms, Workplace Platforms, Automation & Workflow, Digital Trading & Investing, Generative AI UX Design & Research, Strategy & Execution, WM Platforms Risk and the Chief Operating Office.
Digital Assets Portfolio Enablement and Governance, Vice President Morgan StanleyDigital Assets Portfolio Enablement and Governance, Vice PresidentPurchase, NY$110,000–$190,000 / yearOur values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren't just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. WM Platforms consists of ten sub-teams including: Field Experience & Platforms, Digital Client Experience & Platforms, Workplace Platforms, Automation & Workflow, Digital Trading & Investing, Generative AI UX Design & Research, Strategy & Execution, WM Platforms Risk and the Chief Operating Office.
Cybersecurity Insider Threat, Director Citigroup Inc.Cybersecurity Insider Threat, DirectorNew York, NY$170,000–$300,000 / yearCiti provides consumers, corporations, governments, and institutions with a broad range of financial products and services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. The Director of Insider Threat will manage and optimize key insider threat capabilities, including: Program Strategy and Leadership: Define and execute the strategic vision for the enterprise Insider Threat program, aligned with organizational risk tolerance and business objectives.