- BlackRock (Boston, MA)
- **About this role** **Associate, Global Product Solutions ETF Regulatory Marketing Review** **Location: New York or Boston** **About this role** Elevate your ... career by joining the world's largest asset manager ! At BlackRock, we are all connected by one...marketing and communications. The Associate will work closely with product , marketing and compliance groups and FINRA staff to… more
- BlackRock (Boston, MA)
- …ETF Fund Accounting a plus + Understanding of US GAAP and SEC regulatory reporting requirements. + Fund / product lifecycle event management such as ... reporting guidance. + Portfolio trade compliance monitoring and adherence to product and regulatory guidelines and policies. Americas (AMRS) Product… more
- TD Bank (Boston, MA)
- …+ Leads and Executes TD Wealth's Supervisory responsibilities pursuant to FINRA, SEC , OCC, State Regulators, and other regulatory bodies as well ... in collaboration with Compliance and Legal for legal and regulatory changes that require changes to business practices or...pertinent regimes + Prior engagement with regulators (eg, FINRA, SEC , OCC) + Proven people leadership and team development… more
- TD Bank (Boston, MA)
- …assets under management + Accountable for referring Investment only clients to Relationship Manager to increase banking and lending product sales + Uses expense ... acceptance guidelines + Ensures that all client books conform to all legal and regulatory requirements and guidelines associated with FINRA, SEC and TD Bank +… more
- Atria Wealth Solutions (Lunenburg, MA)
- …and small businesses by providing investment strategies, planning solutions, and product recommendations. Essential Duties: + Serve members and potential members by ... investment education and visibility among branch staff. In partnership with branch manager and/or investment sales associate, leads the branch team on actions to… more