- BlackRock (New York, NY)
- **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
- RELX INC (New York, NY)
- …the market leader in disclosure research and workflow tools, is seeking a Senior Product Manager II to lead our Accounting & Disclosure Solutions portfolio. In ... into a product management role or experience already operating as a product manager in accounting, fintech, or enterprise SaaS. + Prior product… more
- Citigroup (New York, NY)
- …for our clients and advance the overall Client Financing offering. The Product manager also stays abreast of industry and regulatory trends to help shape ... and industry trends, enhancing business profitability, and strengthening risk and controls and regulatory compliance. The product manager will help scope and… more
- TD Bank (New York, NY)
- …on regulatory requirements and assisting business units to manage their regulatory risk. The Surveillance Quality Assurance Manager will work with the ... across trade and communications. + Ensure the surveillance department aligns with global regulatory requirements (eg, SEC , FINRA, CFTC, NFA, FCA, MAS, etc.) and… more
- Janus Henderson Investors (New York, NY)
- …your own, we would love to hear from you! Your opportunity The Fund Operations Manager serves as the primary point of contact and dedicated liaison for many of the ... access (eg, rate and/or equity futures and options) + SEC filings + Establishing all necessary cash accounts (some...or hedge fund space. + Extensive knowledge of relevant sector/ product /instruments for the role + Ability to understand data… more
- Bank of America (New York, NY)
- …Legal and Product Control to ensure adherence to rules, laid down by SEC , FINRA and other relevant regulatory authorities. * Perform Relative Value Analysis ... trading strategies and risk parameters. * Apply knowledge of product area including market liquidity and volatility, pricing, and...the business. * Monitor changes in the regulatory framework and work with Internal Compliance,… more
- Neuberger Berman (New York, NY)
- …board materials, marketing presentations, and other reporting + Monitoring compliance with the SEC and IRS regulatory tests in coordination with legal and tax ... to both accredited and non-accredited investors, marking the first product of its kind in the NB Private Markets...role will report to the SVP and manage the SEC reporting and filings to ensure compliance, and will… more
- TD Bank (New York, NY)
- …develop and implement proactive strategies, tactics and programs to effectively manage regulatory oversight and governance issues + Develops and implements sales and ... plans and requirements + Keeps up to date on regulatory issues affecting the governance and control of the...trends and ability to ensure that the firm's evolving product platform meets Client, Firm, and Field Personnel needs… more
- TD Bank (New York, NY)
- …for analyzing and scoping the impact of new and complex regulatory and compliance developments across senior function/business/ product , including cross-border ... US, Europe and Asia Pacific. + Monitor and identify regulatory developments, including enforcement actions, and new laws, regulations,...the ability to assess firm impact. Specifically, FED, FINRA, SEC , CFTC, NYSE, and OCC. + Excellent oral and… more
- BlackRock (New York, NY)
- …negotiate service provider, intermediary and client contracts. + Draft and update SEC registration statements and other regulatory documents and shareholder ... searching for an exciting, challenging, multi-faceted opportunity with the world's largest asset manager ? We are seeking an attorney to serve as a member of… more