Risk Compliance Manager

3 weeks ago


Jersey City, United States AscendHire Full time

Senior Risk Compliance Officer

Financial Servies

MUSTS-Institutional Compliance

Jersey City, NJ-HYBRID

Series 7/24

$160-175 + Bonus, Great Benefits

Will assist with a relocation package


The position

The candidate will be an integral part of the Compliance Department and work with the various capital markets departments as well as interact with all levels of Firm management. The ideal candidate will be an experienced Compliance professional with a strong understanding of equity trading, options, Prime Brokerage and securities lending. The candidate will need to be a self-starter and strong communicator.


What you will do

Working with assigned departments to help improve their policies and procedures. The candidate will be required to review and analyze current policies and procedures; identify, recommend, and implement new and/or enhanced practices related to updated regulatory initiatives and interpretations, new lines of business and changes in business activities.

Provide support for regulatory reviews and internal reviews. assist in regulatory and internal reviews involving securities lending, trade surveillance and other related matters as needed.

Ability to assist in trade surveillance reviews, including daily trade activity, Rule 606 review, and Blue sheet filings. Knowledge of the Nasdaq Trading System (“NTS” or “Nasdaq Smarts”) a plus.

In-depth knowledge of SEC and FINRA trading rules and regulations as they pertain to broker-dealers. Knowledge and understanding of NFA regulations is a plus.

Excellent written and verbal communication skills.

Self-motivated and a collaborative problem solver.

Ability to prioritize work and effectively prioritize multiple and conflicting deadlines


What you offer


Undergraduate Degree required. Graduate degree or additional industry certifications a plus

7+ years of Compliance and Risk experience-Institutional Compliance

Specific knowledge of Institutional Trading, Consolidated Audit Trail, Securities Lending, Prime Brokerage required. Knowledge of the Futures Market a plus

FINRA Series 7, and 24 required. Series 3, 4, 57 and other exams a plus.

Self-starter and collaborative problem solver

Proficient in responding to regulatory inquiries and the FINRA Gateway system



  • Jersey City, United States AscendHire Full time

    Senior Risk Compliance Officer Financial Servies MUSTS-Institutional Compliance Jersey City, NJ-HYBRID Series 7/24 $160-175 + Bonus, Great Benefits! Will assist with a relocation package! The position The candidate will be an integral part of the Compliance Department and work with the various capital markets departments as well as interact with all levels...


  • Jersey City, United States CareerBuilder Full time

    Senior Risk Compliance Officer Financial Servies MUSTS-Institutional Compliance Jersey City, NJ-HYBRID Series 7/24 $160-175 + Bonus, Great Benefits! Will assist with a relocation package! The position The candidate will be an integral part of the Compliance Department and work with the various capital markets departments as well as interact with all levels...


  • Jersey City, United States AscendHire Full time

    Senior Risk Compliance Officer Financial Servies MUSTS-Institutional Compliance Jersey City, NJ-HYBRID Series 7/24 $160-175 + Bonus, Great Benefits! Will assist with a relocation package! The position The candidate will be an integral part of the Compliance Department and work with the various capital markets departments as well as interact with all levels...

  • Risk Compliance Manager

    Found in: Appcast Linkedin GBL C2 - 3 weeks ago


    Jersey City, United States AscendHire Full time

    Senior Risk Compliance OfficerFinancial ServiesMUSTS-Institutional ComplianceJersey City, NJ-HYBRIDSeries 7/24 $160-175 + Bonus, Great Benefits!Will assist with a relocation package!The positionThe candidate will be an integral part of the Compliance Department and work with the various capital markets departments as well as interact with all levels of Firm...

  • Compliance and Operational Risk Manager

    Found in: Talent US C2 - 2 weeks ago


    Jersey City, United States Bank of America Full time

    Description : At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. Responsible Growth is how we run our company and how we deliver for our clients, teammates, communities and shareholders every day. One of the keys to driving Responsible Growth is being a great place to work...

  • Compliance and Operational Risk Manager

    Found in: beBee jobs US - 2 weeks ago


    Rapid City, South Dakota, United States Bank of America Full time

    Job Description:At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. Responsible Growth is how we run our company and how we deliver for our clients, teammates, communities and shareholders every day.One of the keys to driving Responsible Growth is being a great place to work for our...

  • Risk Management

    Found in: Talent US C2 - 7 days ago


    Jersey City, United States JPMorgan Chase & Co. Full time

    Bring your expertise to JPMorgan Chase. As part of Risk Management and Compliance, you are at the center of keeping JPMorgan Chase strong and resilient. You help the firm grow its business in a responsible way by anticipating new and emerging risks, and using your expert judgement to solve real-world challenges that impact our company, customers and...

  • Risk Management

    Found in: Talent US C2 - 2 weeks ago


    Jersey City, United States JPMorgan Chase & Co. Full time

    As a Risk Management - Emerging Risks Senior Associate within the Risk Management and Compliance team at JPMorgan Chase, you will play a pivotal role in maintaining our strength and resilience. You will anticipate emerging risks and use your expertise to tackle challenges impacting our company, customers, and communities. You will be part of the MRGR team,...

  • Director of Compliance and Risk Management

    Found in: Resume Library US A2 - 3 weeks ago


    Trenton, New Jersey, United States Henry J Austin Full time

    MAJOR FUNCTION The Director of Compliance and Risk Management is responsible for ensuring compliance with the applicable regulations and requirements of external entities such as local health departments, the New Jersey Department of Health, the Federal Office of Inspector General (OIG), the Health Resource and Service Administration (HRSA), and the Joint...

  • Risk Manager

    1 week ago


    Jersey City, United States BC Full time

    **Risk Consultant** **Physical Location: Need to be in the Basking Ridge New Jersey area hybrid requires 4 days per week in client's offices in Basking Ridge.** **Outsourced to Aon’s client located in New Jersey, this is a hybrid position requiring in office presence a portion of each week. Located near Morristown and reporting to the Director - Treasury...


  • Jersey City, United States JPMorgan Chase & Co Full time

    **Global Security (GS)** protects the firm's employees and assets throughout the world. This responsibility includes the development of security and safety policies and procedures, regulatory and legislative compliance, corporate aviation, guard management, alarm response, crisis management, ATM, branch and corporate building security and customer safety,...

  • Credit Risk Manager

    2 weeks ago


    Jersey City, United States CareerBuilder Full time

    Credit Risk Matrix Manager of Counterparty Credit Risk Jersey City, NJ As members of the Risk Management department we identify, manage, measure, and mitigate a spectrum of key risk types. Although team members are located in five different countries, we have one universal goal to protect the safety and soundness of our systems. Always having the client...

  • Counterparty Credit Risk Specialist

    Found in: Talent US C2 - 2 weeks ago


    Jersey City, United States Bank of America Full time

    Description :The Financial Market Utility (FMU) Risk Team is committed to responsibly managing the governance and risk oversight for all Bank of America’s FMU memberships and for monitoring compliance with laws, rules and regulations outlining the Bank’s responsibility for managing Risk to FMUs. FMUs are multilateral systems or infrastructures used...


  • Peachtree City, United States Trade Compliance Recruiting Solutions Full time

    Job DescriptionJob DescriptionHIGH LEVEL OVERVIEWNewly created position with growth opportunity in the aerospace industry.Report to the Director, Trade Compliance. 100% in Office setting in the Atlanta area.EXPECTATIONSProvide export compliance subject matter expertiseServe as an Empowered OfficialImplement proceduresConduct training and work with other...


  • Jersey City, United States JPMorgan Chase & Co Full time

    **JOB DESCRIPTION** Join a role that's central to our technological resilience, offering a unique opportunity to shape the firm's tech risk strategy and enhance industry compliance. As a Tech Risk & Controls Director in Cybersecurity and Technology Controls organization, you will play a pivotal role in shaping and implementing the firm's technology risk...


  • Jersey City, United States ABHS Full time

    : Director of Regulatory Compliance and State Licensing (Mental Health and Substance Use Disorder - SUD) Position Overview: The Regulatory Compliance and State Licensing Specialist specializing in Mental Health and Substance Use Disorder (SUD) plays a pivotal role in ensuring that the organization adheres to all relevant regulations and holds the necessary...

  • Vendor Risk Associate

    Found in: Talent US C2 - 2 weeks ago


    Jersey City, United States SMBC Group Full time

    The anticipated salary range for this role is between $80,000.00 and $124,000.00. The specific salary offered to an applicant will be based on their individual qualifications, experiences, and an analysis of the current compensation paid in their geography and the market for similar roles at the time of hire. The role may also be eligible for an annual...

  • Business Analyst/Project Manager, Risk IT

    Found in: Talent US C2 - 2 days ago


    Jersey City, United States Jefferies Full time

    Jefferies Risk Information Technology team is responsible for building and maintaining Risk Management systems solutions and architecture for the Jefferies enterprise. The team works closely with Financial Risk Management functions (Credit, Liquidity, Market) in the areas of measuring, quantifying, analyzing, reporting, controlling, mitigating, and managing...

  • Associate Director, Model Risk

    Found in: beBee jobs US - 2 weeks ago


    Jersey City, New Jersey, United States Royal Bank of Canada Full time

    Come Work with UsAt RBC, our culture is deeply supportive and rich in opportunity and reward. You will help our clients thrive and our communities prosper, empowered by a spirit of shared purpose.Whether you're helping clients find new opportunities, developing new technology, or providing expert advice to internal partners, you will be doing work that...

  • Associate Director, Counterparty Credit Risk

    Found in: Talent US C2 - 2 weeks ago


    Jersey City, United States DTCC Full time

    Are you ready to make an impact at DTCC? Do you want to work on innovative projects, collaborate with a dynamic and supportive team, and receive investment in your professional development? At DTCC, we are at the forefront of innovation in the financial markets. We're committed to helping our employees grow and succeed. We believe that you have the skills...