• SEC Compliance Data

    HTC Global Services Inc (Iselin, NJ)
    …experience as a Data Analyst . + Strong knowledge of SEC Compliance Regulatory Reporting processes, including Large Shareholder Disclosure, 13G, 13F2 SHO, ... perks. We are seeking an experienced Senior Data Analyst with a strong background in SEC Compliance Regulatory Reporting and US Filing processes. The… more
    HTC Global Services Inc (09/26/25)
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  • Senior Compliance Analyst - Park…

    Guardian Life (Trenton, NJ)
    …to be part of a collaborative Compliance Legal Team? As a Senior Compliance Analyst , Park Avenue Securities, and Park Avenue Investment Advisory, you will ... FINRA Rule 3110 and, in certain circumstances, various state insurance laws. The Lead Compliance Analyst is responsible for developing a risk-based plan for the… more
    Guardian Life (09/10/25)
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  • Compliance Analyst

    Guardian Life (New York, NY)
    …purpose, priorities, and values. Do you want to be part of a collaborative Compliance Legal Team? The Compliance Analyst , Park Avenue Securities (PAS), ... skills with comfort making presentations in various settings. **Reporting Relationships** As our Compliance Analyst , you will report to the Compliance more
    Guardian Life (08/27/25)
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  • CAT/Cais Reporting Analyst -Remote…

    Raymond James Financial, Inc. (Trenton, NJ)
    …support our compliance operations and ensure accurate trade and account data submissions. **_A fully remote option may be considered for candidates with ... corporate home office locations: Memphis, TN or Southfield, MI. The Regulatory Operations Analyst ( _CAT/CAIS Reporting Analyst_ ) plays a key role in supporting the… more
    Raymond James Financial, Inc. (09/30/25)
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  • Financial Analyst

    American Express (New York, NY)
    …As part of the team, you can have the opportunity to learn and use the latest data tools and technologies and explore a range of roles to grow your career. Find your ... place in finance on #TeamAmex. The Financial Analyst of Asset-backed Securitization ("ABS") is a key position...is responsible for the accounting, cash management, controls, and SEC & Trust Investor reporting requirements to help support… more
    American Express (10/02/25)
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  • Analyst , Executive Compensation

    NBC Universal (New York, NY)
    …planning, and equity valuation. + Governance & Compliance + Ensure compliance with regulatory requirements including SEC disclosures, proxy reporting, and ... Versant is seeking a highly analytical and detail-oriented Executive Compensation Analyst to support the design, administration, and governance of executive… more
    NBC Universal (09/13/25)
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  • Trading Systems Analyst

    Motion Recruitment Partners (New York, NY)
    …trading desk (NASDAQ) and SEC regulatory requirements. * Background in Legal/ compliance , audit, or data /metrics backgrounds * Knowledge of the US regulatory ... Trading Systems Analyst New York, New York **Onsite** Contract $38/hr...metrics & reconciling metrics * Strong Excel experience for data analysis & reporting * Strong eye for detail,… more
    Motion Recruitment Partners (10/08/25)
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  • IT Business Analyst

    Mizuho Corporate Bank (New York, NY)
    Join Mizuho as an IT Business Analyst , Compliance Systems! In this role you will bridge business needs and IT solutions within the compliance field. This ... and reduce manual work. Additionally, you will monitor and mitigate risks in compliance technology projects, ensuring data integrity and security. The ideal… more
    Mizuho Corporate Bank (10/07/25)
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  • Senior Registration Analyst

    Neuberger Berman (New York, NY)
    Neuberger Berman is looking for a Senior Registration Analyst to join our Legal and Compliance team, focusing on the day-to-day processing of registration ... information to ensure compliance with US regulatory requirements. This role involves supporting...oral, and written communication skills + Understanding of FINRA, SEC , and state registration/licensing requirements + Excellent computer skills… more
    Neuberger Berman (09/09/25)
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  • Analyst , Retirement

    NBC Universal (New York, NY)
    …subject to the satisfaction of customary conditions. Position Summary: The Analyst , Financial Wellbeing and Retirement is responsible for supporting the strategic ... company's retirement and financial wellbeing programs. This role ensures plan compliance , drives employee engagement, and delivers insights that enhance the… more
    NBC Universal (09/12/25)
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  • Application Support Analyst - Capital…

    Marex (New York, NY)
    …+ Ensuring compliance with the company's regulatory requirements under the SEC , FINRA, NFA, CFTC and other applicable exchanges. + Adhere to the operational ... for all front office and post-trade applications including trade capture, market data , settlement and clearing systems and their associated client applications, as… more
    Marex (09/14/25)
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  • Senior Analyst - IT Auditor

    Lincoln Financial (Trenton, NJ)
    …+ Knowledge of internal controls, business / information technology risk, regulatory and compliance frameworks (ITIL, NIST, COBIT, NY DFS, SEC , PCI DSS etc.), ... on an in-depth review of IT systems, cybersecurity and data integrity controls. If you are passionate about driving...risks, and control objectives. + Carry out duties in compliance with all state and federal regulations and guidelines.… more
    Lincoln Financial (08/28/25)
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  • VP Compliance Manager, Trade Surveillance…

    TD Bank (New York, NY)
    …process inefficiencies, and opportunities for process enhancement. + Partner with Surveillance Data Quants and Compliance Technology teams to refine the tooling ... New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $150,000 - $185,000 USD TD is committed to providing fair… more
    TD Bank (08/21/25)
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  • Director, Trade Surveillance - Data Quality

    TD Bank (New York, NY)
    …Specifically, the incumbent will work with TDS Chief Data Officer (CDO), Data and Delivery Initiatives (DDI) team, Compliance Technology, First-Line Risk and ... sources (eg, order management systems, execution platforms, and market data feeds). + Regulatory Compliance & Risk...TDS meet regulatory requirements as it related to surveillance data (eg, SEC , CFTC, NFA, FINRA, FCA,… more
    TD Bank (09/21/25)
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  • Cybersecurity Intern

    CAI (Trenton, NJ)
    …desired, but not required + Security certifications such as CompTIA Security+ ( Sec +), Cybersecurity Analyst (CYSA+), or other security related certifications are ... accreditation activities on IT systems and applications including security and compliance audits, risk assessments, security plans, and performing system tests and… more
    CAI (09/20/25)
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  • Change Manager

    Motion Recruitment Partners (New York, NY)
    …regulators and auditors. + Build controls strategic framework. + Provide business analyst and project management support including data analysis, process ... OTC derivative products. + Basic knowledge of regulatory reporting regulations - CFTC, SEC , CSA, CAT, EMIR, SFTR, MiFID II/MiFIR, etc. + Experience in supporting the… more
    Motion Recruitment Partners (10/10/25)
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