Regulatory Operations L3 - New York

This position supports the integrity of transaction data submitted to U.S. market regulators for equity and options activity. · The individual will work across trading, operations, technology, and compliance functions to ensure reporting accuracy and regulatory expectations are m ...

The individual will play a critical role within regulatory operations to support daily business activities. The individual will be expected to monitor live reporting queues within the FINRA reporting facilities, research, and escalate exceptions to the front office and/or back of ...

We are seeking a Regulatory Operations Specialist to join our Consumer, Competition, Markets & Regulatory team within Legal Affairs. · ...

We are seeking a highly motivated and experienced Regulatory Operations Manager to lead our submissions team and oversee the Medical Legal Review (MLR) process across multiple clients and brands within Ogilvy Health. · Ensure successful execution of all MLR submissions across ass ...

The individual will play a critical role within regulatory operations to support daily business activities. · Ideal candidate will demonstrate a strong understanding of equity related transactional regulatory reporting obligations including CAT, CAIS, ORF, TRF, Rule 605/606. · ...

We are seeking a highly motivated and experienced Regulatory Operations Manager to lead our submissions team and oversee the Medical Legal Review (MLR) process across multiple clients and brands within Ogilvy Health.E nsure successful execution of all MLR submissions across assig ...

At Spotify we unlock the potential of human creativity by giving artists the opportunity to live off their art and billions of fans the chance to enjoy and be inspired by it. Legal Affairs sits at the heart of this mission ensuring that Spotify meets its obligations under an evol ...

This position supports the integrity of transaction data submitted to U.S. market regulators for equity and options activity. · Review regulatory submission outputs for equity and options transactions. · Research reporting discrepancies by tracing trade lifecycles across order, e ...

At Spotify we are passionate about inclusivity and making sure our entire recruitment process is accessible to everyone. · The team that translates global regulation into Spotify's next-generation compliance strategy—balancing innovation user trust and responsible growth. · ...

The selected colleague will work at an MUFG office or client sites four days per week and work remotely one day.A member of our recruitment team will provide more details. · The individual will play a critical role within regulatory operations to support daily business activities ...

+At Spotify, our mission is to unlock the potential of human creativity—by giving a million creative artists the opportunity to live off their art and billions of fans the chance to enjoy and be inspired by it. · ...

+Job summary · Ogilvy is seeking a Regulatory Operations Manager to lead submissions team and oversee Medical Legal Review process across multiple clients. · +ResponsibilitiesEnsure successful execution of all MLR submissions. · Maintain expert level knowledge of each brand's sub ...

We are seeking a highly motivated and experienced Regulatory Operations Manager to lead our submissions team and oversee the Medical Legal Review (MLR) process across multiple clients and brands within Ogilvy Health. · This role serves as the central submissions expert—responsibl ...

We are seeking a highly motivated and experienced Regulatory Operations Manager to lead our submissions team and oversee the Medical Legal Review (MLR) process across multiple clients and brands within Ogilvy Health. · This role serves as the central submissions expert—responsibl ...

This role involves interacting with trading, compliance and risk, and IT functions to operate and enhance capabilities of the existing trading systems using modern technologies and data & software architectures. · ...

At Spotify we translate global regulation into next-generation compliance strategy balancing innovation user trust and responsible growth. · ...

+We are seeking a highly motivated and experienced Regulatory Operations Manager to lead our submissions team and oversee the Medical Legal Review (MLR) process across multiple clients and brands within Ogilvy Health. · ...

Global Investment bank seeks an equity regulatory operations candidate to join their reporting team. · Monitor and reconcile equity regulatory reporting across CAT, CAIS, ORF, TRF and SEC Rule 605/606. · Investigate and resolve reporting rejects linkage issues data discrepancies ...

We are seeking a Regulatory Operation Support Engineer to interact with trading, compliance and risk functions to operate and enhance capabilities of the existing trading systems. Required skills include Linux command line experience, SQL knowledge and good communication skills. ...

This role involves interacting with trading, compliance and risk, and IT functions to operate and enhance capabilities of existing trading systems using modern technologies and data & software architectures. · ...