- Wells Fargo (New York, NY)
- …implementing pricing, risk, and analytics models, supporting regulatory and compliance requirements and collaborating with traders, quants, product and other ... a technically challenging nature + Lead team to ensure compliance and risk management requirements for supported area are...RFS, Quotations, and Trades from multiple trading venues and broker -dealers + 5+ years of Experience working with line… more
- TD Bank (New York, NY)
- …with Firm policy and regulatory requirements. TD has been growing its US Broker Dealer activities over the last few years both organically and through acquisitions ... with management / control function partners (eg Risk, Legal, Compliance , AML and Audit) to assess risks, develop and...automated (Algo) trading and sales activities in coordination with Compliance or relevant Risk and Control teams. + Conduct… more
- Broadridge Financial Solutions (Edgewood, NY)
- …remains accurate, high-quality, and well-governed, including adherence to data compliance standards for both domestic and international (GDPR, etc.) requirements. ... practices in data governance, data quality, documentation, and data compliance (including international data privacy regulations) throughout our reporting processes.… more
- TD Bank (New York, NY)
- …in Wealth by partnering with US Wealth Senior Leadership Team, Federated Partners ( Compliance , Legal), and AMCB Consumer Bank teams to ensure that all regulatory, ... compliance , audit, and self-ID findings are remediated and customer...**OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements… more
- Bloomberg (New York, NY)
- …to uncover insights across one of the world's largest libraries of broker research, company filings, transcripts, and internal notes. With seamless integration into ... in the market - one that helps clients generate actionable ideas, manage compliance risk, and collaborate more effectively across the investment lifecycle. **WHAT IS… more
- Wells Fargo (New York, NY)
- …platform issues of a technically challenging nature + Lead team to ensure compliance and risk management requirements for supported area are met and work with ... order routing, RFQ, RFS, Quotations, and Trades from multiple trading venues and broker -dealers + 5+ years of Experience working with line of business partners, Line… more
- Deloitte (New York, NY)
- …and consulting" peak your interest? Do you enjoy providing tax consulting and compliance services to US and foreign clients while identifying and analyzing complex ... and draw on experience in accounting and taxation to provide tax consulting and compliance services to various client types on the tax implications of their inbound… more
- Deloitte (New York, NY)
- …and consulting" peak your interest? Do you enjoy providing tax consulting and compliance services to US and foreign clients while identifying and analyzing complex ... and draw on experience in accounting and taxation to provide tax consulting and compliance services to various client types on the tax implications of their inbound… more
- Deloitte (New York, NY)
- …US and foreign multinational companies on global import and export strategies, compliance , and trade automation. Our team focuses on advising, implementing and ... solutions to enable international trade management operations. + Planning and compliance assistance, and exploration of automated import and export solutions. +… more
- Cerebral Palsy Association of the North Country (Canton, NY)
- …managers, and ensure programs meet the highest standards of quality, accessibility, and compliance . You'll also play a pivotal role in expanding and shaping services ... are scheduled and attend trainings to meet agency and regulatory compliance . d. Monitor staff performance through evaluations, developmental plans, and progressive… more