- Marex (New York, NY)
- …to time. + Ensuring compliance with the company's regulatory requirements under the SEC , FINRA, NFA, CFTC and other applicable exchanges. + Adhere to the operational ... risk framework for your role ensuring that all regulatory or company determined parameters are complied with. + Role model for demonstrating highest level standards of integrity and conduct and reflecting Company Values + At all times complying with Marex's… more
- Raymond James Financial, Inc. (New York, NY)
- …broker/dealer compliance and/or branch exams + Rules and regulations of the SEC , FINRA, and state securities regulatory agencies + Fundamental investment concepts, ... practices, and procedures used in the securities industry + Financial markets and products **Skill in:** + Thorough and balanced documentation of work product + Clear, concise, cross-functional communications, both written and oral + Identification of… more
- TD Bank (New York, NY)
- …rules and regulations with the ability to assess firm impact. Specifically, FED, FINRA, SEC , CFTC, NYSE, and OCC including Securities Act, Reg M, SPAC Rules, Trade ... Reporting, Etc. + Excellent oral and written communication skills. + Ability to make, support and defend difficult and complex regulatory/compliance decisions in a fast-paced and high pressured environment. + Ability to project confidence and professionalism… more
- Coinbase (Albany, NY)
- …4 + years of financial services regulatory experience, ideally focused on CFTC, SEC and/or prudential regulation. * Management consulting experience is a plus. * ... Understanding of blockchain-based technology, products, and services * You must be an exceptional communicator. You will be expected to produce original written work for both internal and external consumption. * Superb attention to detail *Nice to haves:* *… more
- Neuberger Berman (New York, NY)
- …ad-hoc requests from senior management and portfolio managers + Support SEC and other regulatory compliance activities as needed **Qualifications:** + Bachelor's ... degree or higher in Accounting or Finance + Strong understanding of accounting principles, fund accounting, and financial reporting + 4-7 years of accounting/finance experience; CPA preferred + Highly detail-oriented and organized + Ability to meet assigned… more
- BMO Financial Group (New York, NY)
- …Fixed Income Compliance team in New York with a focus on FINRA and SEC broker-dealer requirements and corresponding oversight. We are looking for someone to work ... closely with the Fixed Income, Currencies, and Commodities ("FICC") LOBs and other internal business partners to ensure regulatory, corporate and fiduciary obligations are met. You will have a specific focus on compliance oversight over BMO's Fixed Income… more
- TD Bank (New York, NY)
- …laws, rules and regulations with the ability to assess firm impact. Specifically, FINRA, SEC , Exchange Level SROs including NYSE, NASDAQ & CBOE. + Excellent oral and ... written communication skills. + Ability to make, support and defend difficult and complex regulatory/compliance decisions in a fast-paced and high pressured environment. + Ability to project confidence and professionalism in dealings with senior business… more
- Bank of America (New York, NY)
- …along with other requirements governed by the US Securities and Exchange Commission (" SEC ")** **Active Series 7 and 66 (or combination of BOTH Series 63 & ... 65 in lieu of 66) registrations; must obtain all state registrations held by the Financial Advisor(s) and Advisor Team(s) they support** **Must maintain at least one firm approved designation** **Possess and demonstrate strong communication skills** **Thorough… more
- Evolent (Albany, NY)
- …communication skills. - **Preferred** **To comply with HIPAA security standards (45 CFR sec . 164.308 (a) (3)), identity verification may be required as part of the ... application process. This is collected for compliance and security purposes and only reviewed if an applicant advances to the final interview state. Reasonable accommodations are available upon request.** **Technical Requirements:** We require that all… more
- Broadridge Financial Solutions (Edgewood, NY)
- …tooling (Datadog, similar others). + Exposure to regulatory environments (FINRA, SEC , etc.) and audit-readiness practices. Soft Skills: + Strategic mindset with ... a hands-on approach. + Strong verbal and written communication skillsable to translate technical concepts into business terms. + Leadership qualities to guide and influence without direct authority. Compensation Range: The salary range for this position is… more