Equities Regulatory Compliance Specialist

About the RoleHold Brothers Capital, LLC is a leading self-clearing broker-dealer seeking a highly skilled and experienced public equities trading compliance officer to join its team.The Compliance Officer will be responsible for ensuring compliance with all relevant regulatory requirements related to public equities trading, including FINRA and SEC rules...

Job Title:Regulatory Compliance SpecialistAbout the Role:We are seeking an experienced Regulatory Compliance Specialist to join our team at the City of New York. As a key member of our Regulatory Compliance Unit, you will play a critical role in ensuring that our facilities comply with statutory, regulatory, and contractual obligations.The ideal candidate...

Job TitleRegulatory Compliance Specialist - Sanctions ProgramJob SummaryWe are seeking a highly skilled Regulatory Compliance Specialist to join our sanctions program team. As a key member of our compliance department, you will play a critical role in supporting sanctions programs, conducting reviews, and ensuring regulatory excellence.Key Responsibilities...

Company OverviewThe TP ICAP Group is a world-leading provider of market infrastructure, offering clients access to global financial and commodities markets. Our purpose is to improve price discovery, liquidity, and data distribution through responsible and innovative solutions.We connect clients to superior liquidity and data solutions through our people and...

Job Description:Citigroup, Inc. is seeking a highly skilled Regulatory Compliance Specialist to join our team in New York. As a key member of the ICRM department, you will be responsible for overseeing the monitoring and identification of regulatory developments, including enforcement actions, and new laws, regulations, rules, and interpretations or guidance...

Job OverviewIn a dynamic environment, we are seeking an experienced Regulatory Compliance Specialist to join our team. The successful candidate will manage regulatory examinations across wholesale businesses, including operations, finance, reporting, and sales and trading.This role involves preparing personnel for regulator meetings and deep-dive reviews, as...

Millennium Management, LLC is committed to adopting, implementing, and enforcing a robust Compliance program that encompasses policies and procedures, processes, systems, controls, surveillance, testing, and reporting. This program is designed to prevent or detect violations of applicable laws, rules, and regulatory requirements and Firm policies. As a...

OKX is a leading crypto exchange and developer of the OKX Wallet, providing millions with access to crypto trading and decentralized applications.About the RoleWe are seeking a skilled Regulatory Compliance Specialist to join our team. As a key member of our Compliance department, you will be responsible for coordinating effective training efforts and...

Global Markets Regulatory Specialist Job DescriptionOur team seeks a highly motivated individual to contribute to the development and implementation of effective compliance measures within the Global Markets Division.The successful candidate will be responsible for providing guidance on regulatory matters, analyzing new laws and regulations, and representing...

Job Overview: LaSante Health Center in Brooklyn is seeking a Regulatory Compliance Specialist to join our team. In this role, you will be responsible for ensuring that our documentation meets all relevant regulatory requirements. Your strong analytical and problem-solving skills will enable you to identify areas for improvement and implement changes to...

About the RoleWe are seeking a skilled Regulatory Compliance Specialist to join our team in New York. This is an exciting opportunity to work with a mid-sized organization that specializes in property management services and real estate development.

We are seeking a seasoned Regulatory Compliance Specialist to join our Financial Services practice. As part of our team, you will support clients in navigating complex regulatory landscapes and developing effective remediation strategies.About Sia PartnersSia Partners is a cutting-edge management consulting firm that combines AI and design capabilities to...

Job Title: Regulatory Compliance SpecialistAbout Us: Wedbush Securities is a leading investment bank offering innovative financial solutions. We are currently seeking an experienced professional to oversee controls and protect confidential information.Responsibilities:- Analyze data and identify risk indicators using business intelligence tools- Implement...

Unlock Your Career Potential at QuantexaWe are seeking an exceptional Regulatory Compliance Specialist to join our team. This is a unique opportunity to work with a leading data analytics company, driving growth and innovation while ensuring regulatory compliance.About the Role:Align Quantexa's practices with global regulatory standards, including NIST, CMMC...

Protecting Melio's Platform and Users from ThreatsMelio, a leading B2B payment platform in the US, has created new and exciting ways for small businesses to engage in the payments ecosystem. However, this innovation has also introduced threats and vulnerabilities that need to be addressed.The Risk & Compliance Team plays a critical role in maintaining...

About the Opportunity: We're seeking an experienced attorney to fill a critical role within our Legal team. Your primary responsibility will be to provide expert guidance on commercial transactions, product development, and regulatory compliance. You'll work closely with our Product and Engineering teams to ensure that our products meet regulatory...

We are looking for a highly skilled Compliance Manager to join our team at Brex. In this role, you will be responsible for ensuring compliance with regulatory requirements and internal policies. With 5+ years of experience in compliance management, preferably in financial services, you will develop and enhance the organization's compliance program to align...

Job SummaryWe are seeking a highly skilled Regulatory Exam Compliance Specialist to join our team. This role will be responsible for managing regulatory examinations, preparing business personnel for regulator meetings, and supporting TD's ongoing supervision program.About the RoleThe ideal candidate will have 5-7 years of related experience, with a strong...

Job Overview:S&P Global, Inc. is seeking a highly skilled Senior Regulatory and Compliance Solutions Specialist to join our team. This role will play a crucial part in developing and enhancing our suite of regulatory compliance solutions. As a Senior Regulatory and Compliance Solutions Specialist, you will work closely with cross-functional teams, including...

We are seeking a seasoned Senior Regulatory Specialist to join our compliance team at IQ-EQ. The successful candidate will have a deep understanding of regulatory requirements, particularly within the alternative and traditional investment sectors.In this role, you will be responsible for leading compliance engagements, developing, implementing, and...