- TD Bank (New York, NY)
- …more specifically those focused on Electronic Trading automated (pre-trade) controls to address regulatory and best practice requirements (eg SEC Rule 15c3-5, NI ... this role. **Job Description:** **Short Term Assignment - 12 Month Duration** Regulatory and Supervisory Management (RSM) drives a strong culture of supervision and… more
- 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
- 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)
- …jurisdictions. Analyzing and scoping the impact of new and complex regulatory and compliance developments across senior function/business/ product , including ... a team(s) of specialists/professionals providing advice, guidance and expertise on regulatory requirements and assisting business units to manage their regulatory… 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