Assistant Manager, Market Regulation Jobs in New York, NY | Glassdoor
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Assistant Manager, Market Regulation Jobs in New York, NY

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  • 3.3
    Financial Industry Regulatory Authority, Inc. – New York, NY
    4 days ago 4d
    of relevantFINRA/SEC rules, regulations and guidelines preferred Knowledge ofsecurities markets, member firm operations, books… necessary,assist other TFCE examiners in conducting more complex examinations Effectively and efficiently manage the daily workloadto…
  • 4.0
    Schireson Associates – New York, NY
    Est. Salary $46k-$79k
    4 days ago 4d
    with all state and federal discrimination and employment regulations Directing and coordinating preparation of position descriptions… also try to have fun while we’re doing it. Our clients are market leaders from a wide range of industries, including media & entertainment…
  • 3.8
    Goldman Sachs – New York, NY
    Est. Salary $189k-$280k
    24 days ago 24d
    is part of the risk management department and helps manage the firm’s market risk and capital. Joining the MRCA team will give you… reporting capabilities for senior management, committees and regulators  Develop and maintain important internal and external relationships…
  • 3.5
    Canadian Imperial Bank of Commerce – New York, NY
    Est. Salary $57k-$91k
    NEW
    and that credit excesses are managed in accordance with approved delegations under the capital markets risk management framework,… capital markets activities and able to assess the credit worthiness of counterparts using cash flow, ratio and other market trend…
  • 2.7
    Santander Bank – New York, NY
    17 days ago 17d
    is a must; familiarity with capital markets, broker/dealer operations, or FINRA regulations is a plus CPA or CIA preferred Proficient… for assisting in the execution of audits within the capital markets and structural risks team. Within the capital markets space…
  • 3.3
    FINRA – New York, NY
    Est. Salary $43k-$57k
    NEW
    Administrative Assistant II supports the examination and surveillance staffs in Risk Oversight and Operational Regulation. This is skilled… Timekeeping and assist with attendance tracking approval process Assist Examination Directors and Examination Managers with Travel…
  • 3.9
    OnPrem Solutions Partners – New York, NY
    Est. Salary $61k-$86k
    4 days ago 4d
    for capital markets industry (e.g., risk management/VaR, management/regulatory reporting, securities trading regulation, post-trade… post-trade regulation, and/or capital adequacy rules), preferred PREFERRED We’re looking for business and technology leaders……
  • 3.4
    HSBC – New York, NY
    Est. Salary $71k-$116k
    NEW
    knowledge of AML regulations and risk identification capabilities is required (i.e. risk of client composition, markets and geographies… Connected to customers, communities, regulators and each other." Leadership & Teamwork Manages staff, directing day to day focus…
  • 3.0
    Fresenius Medical Care – New York, NY
    Est. Salary $80k-$98k
    NEW
    outlined in the facility policy procedure manuals, as well as regulations set forth by the corporation, state, and federal agencies… Enforces all company approved polices and procedures, as well as regulations set forth by state and federal agencies and departments.…
  • 3.8
    PricewaterhouseCoopers LLC – New York, NY
    NEW
    compliance standards and regulations. Demonstrates proven extensive knowledge levels and success in roles assisting large organizations… and extracting value from transactions. Our growing Consumer Markets industry team provides strategy, management, technology and…
  • 3.3
    Financial Industry Regulatory Authority, Inc. – New York, NY
    Est. Salary $103k-$154k
    30+ days ago 30d+
    achieve Departmental, FINRA and SEC requirements. Provide MarketRegulation management with information regarding the achievement… . Plan, coordinate and manage activities of section to ensure member compliance with trading and market making rules and the efficient…
  • 3.6
    Loews Corporation – New York, NY
    27 days ago 27d
    including vendor/carrier markets and advanced financial modeling • Serve as lead relationship manager between Loews and vendors… welfare plans with current knowledge of prevailing laws and regulations • Demonstrated success in concurrent and matrix project management…
  • 4.4
    American Institute for Foreign Study, Inc. – New York, NY
    14 days ago 14d
    regional program manager. Regional representatives assist in training new counselors and work with them to market the program and… counselor is also responsible for ensuring adherence to program regulations established by the State Department. The community counselor…
  • 3.5
    Citi – New York, NY
    Est. Salary $143k-$193k
    20 days ago 20d
    Citibank, their affiliates and of Citis respective regulators, globally. Market Risk is a control function which has the responsibility… and monitor the market risks taken by Citis sales and trading businesses and its investments portfolio. The Market Risk audit team…
  • 3.8
    PricewaterhouseCoopers LLC – New York, NY
    Est. Salary $117k-$168k
    4 days ago 4d
    Thorough knowledge of mortgage banking secondary markets and capital markets in general. Skills Preferred: Strong technical… sustainability and environmental reporting, population shifts and regulation. We combine skills and experience to help our clients address…
  • 3.8
    PricewaterhouseCoopers LLC – New York, NY
    Est. Salary $87k-$138k
    5 days ago 5d
    sustainability and environmental reporting, population shifts and regulation. We combine skills and experience to help our clients address… engagements: Corporate Governance and Sarbanes Oxley Act's regulations and requirements, including compliance readiness programs…
  • 3.3
    FINRA – New York, NY
    6 days ago 6d
    unusual market activity for evidence of violations of applicable federal securities laws and FINRA rules and regulations. This… relevant FINRA/SEC rules, regulations and guidelines preferred Knowledge of securities markets, member firm operations, books…
  • 3.7
    COPE Health Solutions – New York, NY
    Est. Salary $46k-$75k
    13 days ago 13d
    engaged in relevant public policy dialogues in target markets Plan, manage, and execute business analysis for consulting projects… proposed public policy or legislative changes within target markets and key programs on clients and the firm at large. This will…
  • 3.4
    Citibank – New York, NY
    Est. Salary $116k-$158k
    20 days ago 20d
    Citibank, their affiliates and of Citis respective regulators, globally. Market Risk is a control function which has the responsibility… and monitor the market risks taken by Citis sales and trading businesses and its investments portfolio. The Market Risk audit team…
  • 3.3
    FINRA – New York, NY
    11 days ago 11d
    achieve Departmental, FINRA and SEC requirements. Provide MarketRegulation management with information regarding the achievement… . Plan, coordinate and manage activities of section to ensure member compliance with trading and market making rules and the efficient…
  • 3.8
    Goldman Sachs – New York, NY
    Est. Salary $58k-$86k
    5 days ago 5d
    Compliance is primarily responsible for Funds that are subject to regulation under the Investment Company Act of 1940 and are organized… firm. From global financial centers to important developing markets, Global Compliance professionals interpret and ensure compliance…
  • 3.7
    Hologic – New York, NY
    13 days ago 13d
    b. Works to become more self-aware and demonstrates self-regulation in making business and personnel decisions. c. Displays… their region and keep abreast of and leverage trends in the market place to meet regional business objectives. Duties…
  • 3.8
    PricewaterhouseCoopers LLC – New York, NY
    Est. Salary $89k-$130k
    5 days ago 5d
    .com/us The PwC network is a global market leader in tax services. We assist businesses, individuals, and organizations… Demonstrates extensive knowledge of general tax principles and regulations, including of the application of FAS 109, FAS 109 software…
  • 3.3
    Senior Whole Health – New York, NY
    27 days ago 27d
    Completes all required documents; Provide market intelligence to Business Manager during weekly contact. Coordinates and relays… Maintains ongoing knowledge of changes to Medicare and Medicaid regulations and their impact on daily operations; Self-reports any potential…
  • 3.6
    New Visions for Public Schools – New York, NY
    17 days ago 17d
    and analyses Assist in annual benefits (health, dental, vision, life, disability and other ancillary) package market analysis review… staff Respond to staff and manager inquiries related to compensation and benefits matters Assist in job evaluations, analysis…
  • 3.8
    PricewaterhouseCoopers LLC – New York, NY
    Est. Salary $99k-$144k
    5 days ago 5d
    sustainability and environmental reporting, population shifts and regulation. We combine skills and experience to help our clients address… and boards. You'll serve the public interest and the capital markets by conducting quality audits. Visit http://pwc.to/pwcassurance…
  • 3.3
    Financial Industry Regulatory Authority, Inc. – New York, NY
    Est. Salary $122k-$176k
    8 days ago 8d
    individual for our Application Manager opening in Membership Application Program (MAP) of the Member Regulation Department in New York,… keeping the markets fair and proactively addressing emerging regulatory issues before they harm investors or the markets. FINRA operates…
  • 3.5
    Wells Fargo – New York, NY
    Est. Salary $79k-$127k
    NEW
    operational risk management (includes audit, legal, credit risk, market risk, or the management of a process or business with accountability… and experience in broker dealer and investment management regulations i.e. FINRA, SEC, MSRB, etc. 10+ years of experience in…
  • 3.8
    Mandarin Oriental, New York – New York, NY
    Est. Salary $20k-$36k
    NEW
    assigned staff. Assists with training and continuing education of staff as directed by The Aviary Bar Manager. Meets with… guests, and property. Strictly adheres to alcohol serving regulations. Reports any maintenance deficiencies in a quick and…
  • 3.3
    FINRA – New York, NY
    Est. Salary $43k-$57k
    NEW
    Administrative Assistant II supports the examination and surveillance staffs in Risk Oversight and Operational Regulation. This is skilled… Timekeeping and assist with attendance tracking approval process Assist Examination Directors and Examination Managers with Travel…
  • 3.0
    Mizuho Corporate Bank – New York, NY
    Est. Salary $115k-$169k
    5 days ago 5d
    Understanding of Corporate and Investment Banking as well as Capital Markets a plus 5-10 years of risk management, compliance, or audit… presentation materials for Mizuho leadership, business partners and regulators Gain a deep understanding of the business’ needs and identify…
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