Vice President, Trading And Product Risk Intelligence Financial Industry Regulatory Authority, Inc.Vice President, Trading And Product Risk IntelligenceJersey City, NJ$300,000–$350,000 / yearThis role requires deep technical expertise in intelligence disciplines, market operations, regulatory frameworks, and complex financial products, combined with a strong ability to build and maintain effective relationships both internally and externally with industry participants such as FINRA member firms, other regulators, law enforcement, intelligence partners, exchanges, and market infrastructure providers. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts.
Vice President, Trading and Product Risk Intelligence Financial Industry Regulatory Authority IncVice President, Trading and Product Risk IntelligenceWoodbridge, NJ$300,000–$350,000 / yearThis role requires deep technical expertise in intelligence disciplines, market operations, regulatory frameworks, and complex financial products, combined with a strong ability to build and maintain effective relationships both internally and externally with industry participants such as FINRA member firms, other regulators, law enforcement, intelligence partners, exchanges, and market infrastructure providers. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts.
NewHR Compliance Specialist II Worldwide Flight ServicesHR Compliance Specialist IIJamaica$70,000–$83,000 / yearWe perform at the highest level for our customers every day, and strive to be an exceptional leader in our industry with our teams of cargo, passenger, ramp handling, and technical service experts in 227 airport locations, 27 countries, and on 5 continents. Evaluate manager-initiated timekeeping adjustments, including punch edits, overrides, missed punches, retroactive entries, and exception handling, to identify compliance risks and ensure accurate employee compensation.
Legal & Compliance Department - FLU BSA and Compliance Oversight Associate Bank of ChinaLegal & Compliance Department - FLU BSA and Compliance Oversight AssociateNew York, New York$42,000–$90,000 / yearFull timeManage monthly FLU BSA Officer meeting reporting materials, and quarterly FLU Subcommittee meeting reporting preparation, including data collection from each FLU BSA Officer and summarize into presentation format. Our long-term outlook, institutional weight and global breadth provide our clients with a stable and reliable financial partner, whether in Corporate or Personal Banking or our Trade Services, Commodities, Financial Institutions and Global Markets lines of business.
Legal & Compliance Department - FLU BSA and Compliance Oversight Associate Bank of China Limited, New York BranchLegal & Compliance Department - FLU BSA and Compliance Oversight AssociateNew York, New York$42,000–$90,000 / yearFull timeManage monthly FLU BSA Officer meeting reporting materials, and quarterly FLU Subcommittee meeting reporting preparation, including data collection from each FLU BSA Officer and summarize into presentation format. Our long-term outlook, institutional weight and global breadth provide our clients with a stable and reliable financial partner, whether in Corporate or Personal Banking or our Trade Services, Commodities, Financial Institutions and Global Markets lines of business.
2027 Summer Intern - Legal & Compliance Group - Sophomore Intern The Federal Reserve System2027 Summer Intern - Legal & Compliance Group - Sophomore InternNew York, NYContribute to the execution of various activities that support Legal & Compliance Group projects and programs which may include: Document Review and Analysis (assistance with review of documents maintained within the Division to determine whether they should be maintained or destroyed in accordance with Records Management Policy); Review of agreements/contracts (review compiled agreements and discuss relevant provisions); Case Law Update (review summary document of cases and descriptions; confirm each case has not been overturned); and. Internships will be available in the: Compliance Function: Identifies and assesses risks related to the failure to comply with the Bank's code of conduct, internal policies, and regulations principally associated with anti- money laundering, U.S. economic sanctions compliance, fraud risk, sensitive data management, trading operations, and other restrictions related to employee conduct.
Analyst - Enterprise Portfolio Management Office MUFG Americas Holdings CorpAnalyst - Enterprise Portfolio Management OfficeNew York, NY$122,000–$166,000 / yearThe Analyst performs quality assurance and quality control reviews, maintains governance records and reports, administers EPMO tools and workflows, supports stakeholder inquiries and requests, and contributes to process improvements that enhance the effectiveness, consistency, and transparency of EPMO operations. Additionally, our Total Rewards program provides colleagues with a competitive benefits package (in accordance with the eligibility requirements and respective terms of each) that includes comprehensive health and wellness benefits, retirement plans, educational assistance and training programs, income replacement for qualified employees with disabilities, paid maternity and parental bonding leave, and paid vacation, sick days, and holidays.
Director, Trade Surveillance & Financial Crimes Compliance moomooDirector, Trade Surveillance & Financial Crimes ComplianceJersey City, NJ$185,000–$230,000 / yearAs the firm's subject matter expert for Trade Surveillance and AML, this leader is responsible for ensuring the effectiveness of surveillance and AML controls, maintaining compliance with SEC, FINRA, BSA, USA PATRIOT Act, OFAC, and other applicable regulatory requirements, and proactively identifying emerging risks through data analytics, technology, and industry best practices. This role provides strategic and operational leadership over market abuse surveillance, supervisory review, financial crime investigations, transaction monitoring, customer due diligence, regulatory reporting, and program governance.
VP Enterprise Risk US FinTech | Risk Governance & Board Oversight MastarRecVP Enterprise Risk US FinTech | Risk Governance & Board OversightNew York, New YorkResponsible for enterprise-wide risk management including operational, regulatory, financial, and reputational risk frameworks. • Board-level reporting experience.
Senior Python Data Engineer - SAS Migration Capgemini SESenior Python Data Engineer - SAS MigrationBrooklyn, NY$80,420–$106,050 / yearThe disclosed range takes into account the wide range of factors that are considered in making compensation decisions including, but not limited to, geographic location, relevant education, qualifications, certifications, experience, skills, seniority, performance, sales or revenue-based metrics, and business or organizational needs. The individual will collaborate with cross-functional teams (including risk analysts, data engineers, and model validation specialists) to ensure a seamless transition of critical risk modeling processes to a modern, automated, and compliant Python environment.
Director - Compliance Manager, Transformation Program Management The Toronto-Dominion BankDirector - Compliance Manager, Transformation Program ManagementNew York, NY$180,000–$225,000 / yearThe team provides the structure, governance, and execution discipline needed to move complex initiatives from strategy to implementation, ensuring commitments are clearly defined, risks are actively managed, progress is transparent, and outcomes are aligned to regulatory expectations and business needs. 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.
Quantitative Model Development Analyst - Credit Modeling U.S. BancorpQuantitative Model Development Analyst - Credit ModelingNew York, NY$98,175–$115,500 / yearYou are expected to communicate statistical model functions and predictions to stakeholders to demonstrate effective risk management and compliance as well as to foster integrations of credit risk modeling into business as usual (BAU) activities. In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal guidelines applicable to an agreement, such as those related to ethics, safety, or operational procedures.
Compliance Analyst - Mutual Funds Neuberger BermanCompliance Analyst - Mutual FundsNew York, NY$80,000–$110,000 / yearAn employee's pay position within the salary range will be based on several factors including, but limited to, relevant education, qualifications, certifications, experience, skills, seniority, geographic location, business sector, performance, shift, travel requirements, sales or revenue-based metrics, market benchmarking data, any collective bargaining agreements, and business or organizational needs. Assist in the administration of compliance programs adopted pursuant to Rule 38a-1 of the Investment Company Act and Rule 206(4)-7 of the Investment Advisers Act; assist the Chief Compliance Officer- Registered Funds with the implementation of the programs, related quarterly and annual assessments, preparation of reports and summaries.
Asset & Wealth Management, Global Risk Management, Multi-Asset Risk, Vice President - New York The Goldman Sachs Group IncAsset & Wealth Management, Global Risk Management, Multi-Asset Risk, Vice President - New YorkNew York, NY$125,000–$250,000 / yearGlobal Risk Management sits at the center of Goldman Sachs Asset Management, providing independent oversight and governance for a global platform with over USD 3 trillion in assets under supervision across public and private markets, funds and separately managed accounts. We partner closely with portfolio management, trading, and control functions such as Legal, Compliance, and Firm-wide Risk to strengthen frameworks, improve monitoring and reporting, meet regulatory obligations and continuously evolve our risk practices in line with a fast-changing market and product landscape.
Paralegal - Compliance and Employment Programs Lead QXO IncParalegal - Compliance and Employment Programs LeadGreenwich, CT$100,000–$150,000 / yearQXO is North America's largest distributor and installer of insulation, the second-largest distributor of roofing products, the second-largest publicly traded distributor of lumber and building materials, and the largest distributor of waterproofing products. Manage the internal whistleblower platform by assisting with internal investigations, providing guidance on case management systems and workflows, performing intake, organizing information and records, and reviewing investigative case files.
Labor Compliance Specialist I Swinerton IncLabor Compliance Specialist INew York, NY$31.25–$34.62 / hourVoluntary benefits include additional term life insurance, long term care insurance, critical illness and accidental injury insurance, pet insurance, legal plan, identity theft protection, and other voluntary benefit options. Job Description Summary: Provides overall labor compliance support to ensure construction projects comply with labor laws, prevailing wage requirements, and project-specific labor requirements on assigned market(s).
Director, Compliance (Aml) Futu SecuritiesDirector, Compliance (Aml)Jersey City, NJstands 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). As an SEC registered FINRA member, we provide retail investors access to both U.S. and Asian securities markets, ensuring your investment journey is backed by expertise.
Sr. Healthcare Compliance Specialist, TA Terumo CorpSr. Healthcare Compliance Specialist, TASomerset, NJ$86,900–$121,880 / yearThis position is responsible for assisting the Head of Compliance and/ or designee with the following tasks, among others: Supporting the execution of monitoring and testing plans at a group level, focused on high-risk areas (e.g., anti-bribery and corruption, sanctions, data privacy, and internal controls), leveraging technology and data analytics across multiple sources to provide insights to management and commercial teams; Proposing, supporting, and executing remediation plans, including, but not limited to, training, job aids, and other associate resources; Supporting the Sunshine Act reporting process, including data collection, validation, and submission, ensuring timely and compliant reporting in line with TAH processes; Supporting the third-party risk management program, including the review of due diligence reports, approvals, and development of dashboards to identify and monitor high-risk areas; Supporting additional compliance program activities as needed, including compliance review of interactions with Healthcare Professionals (HCPs) and Healthcare Organizations (HCOs), contract administration, and the development of tools and guidance (e.g., checklists, procedures); Performing other compliance-related activities as required. The Terumo Americas Holding Senior Compliance Specialist is responsible for assisting the Compliance Team with the following key activities, including, but not limited to: Monitoring and Testing: Support the implementation and execution of monitoring and testing plans at group level, including: Conducting monitoring and testing across high-risk areas, as identified by TAH, including but not limited to, HCP engagements, events, travel and expenses, distributor payments; Developing dashboards and reports; delivering monthly, quarterly, and annual analytics to management and commercial teams; Supporting investigations in alignment with Compliance Team; Preparing follow-up communications and corrective actions; Maintaining and updating monitoring and corrective action logs; Delivering policy training and re-training to associates as needed.
US Analyst - AML / OFAC Compliance Officer Credit Agricole SAUS Analyst - AML / OFAC Compliance OfficerNEW YORK, NYThe position's main responsibilities are centered on the following: reviewing and validating high risk KYC files, and providing AML and/or sanctions related guidance to the Bank's staff on proposed transactions. Assist to provide guidance to Front Office and Support staff on AML specific queries concerning proposed customers and/or transactions.
Director, Compliance Futu Securities International (Hong Kong) LtdDirector, ComplianceJersey City, NJstands 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). Maintain a thorough understanding of clearing and settlement processes, securities movements, securities lending, customer account activity, margin requirements, books and records requirements, and operational controls.