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New York City: Brooklyn
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Staff Counsel Paralegal - Brooklyn
The responsibilities and duties include assisting attorneys through all phases of litigation from inception through trial including drafting...
Senior IT Auditor - Application Systems
Basic Purpose : To provide independent, objective risk assessment and evaluation around the effectiveness of risk management practices, internal...
Director - Internal Audit - US FBO & CCAR
  PRIMARY RESPONSIBILITIES Audit work associated with: intermediary Holding Company (IHC) set up and the related; Governance, Finance...
Compliance - Volcker Testing
  PURPOSE: The employee will perform an integral role in the firm's ability to meet mandatory Volcker Rule Dodd-Frank Wall Street Reform and...
Senior Audit Manager
Basic Purpose:   In support of the Director and Vice President, Capital Markets IAS, provide independent, objective risk assessment and...
Compliance Associate - Employee Monitoring
PURPOSE: Administer employee compliance with Firm policy, SEC and FINRA rules and regulations with respect to Employee Disclosures, including...
TRACE/MSRB Regulatory Reporting Operations Specialist
PURPOSE The TRACE/MSRB Regulatory Reporting Operations Specialist [Analyst/Associate], is responsible for ensuring timely, accurate and...
Branch Office Inspections & Internal Controls Testing
PURPOSE: The employee will perform an integral role in the firm's ability to meet mandatory branch office review requirements, and assist in the...
Compliance Business and Change Management Manager
PURPOSE The Head of US Capital Markets Compliance Transformation acts in the capacity of a Chief Operating Officer. The role is to support the US...
Claim Director
Minimum Requirements: Authoritative knowledge of company Should have a high degree of specialized and technical competence in the handling of...
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