- Raymond James Financial, Inc. (New York, NY)
- …mitigate regulatory risks associated with Capital Markets activities, ensuring adherence to SEC , FINRA, FRB Bank Holding Company, and state securities regulations. + ... Knowledge of:** + Securities industry compliance practices, concepts, and procedures. + SEC , FINRA, FRB Bank Holding Company, and state regulatory frameworks. +… more
- Citigroup (New York, NY)
- …products, and over-the-counter derivatives + Demonstrated basic familiarity with FINRA, SEC , OCC, and CFTC regulations. Preferred Skills: + Ability to manage ... and prioritize tasks effectively + FINRA Series 7 and related licenses preferred + Strong proficiency in Microsoft Office suite (Excel, PowerPoint, Word) + Excellent communication skills, ability to communicate to all levels of management + Familiarity with… more
- EPAM Systems (New York, NY)
- …model-driven workflows + Understanding of regulatory frameworks (eg, NAIC, Solvency II, SEC , FINRA) + Experience with DevOps tools (Jenkins, GitLab CI, Docker, ... Kubernetes) + Familiarity with Agile methodologies (Scrum, SAFe) + Experience with other low-code platforms (eg, OutSystems, PowerApps) **We offer** + Medical, Dental and Vision Insurance (Subsidized) + Health Savings Account + Flexible Spending Accounts… more
- Citigroup (New York, NY)
- …+ Expertise of Compliance laws, rules, regulations, risks and typologies (FINRA, SEC ) + Excellent written, verbal and analytical skills + Must be a ... self-starter, flexible, innovative and adaptive + Highly motivated, strong attention to detail, team oriented, organized + Strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging + Ability to… more
- Mizuho Corporate Bank (New York, NY)
- …work within a team in a dynamic environment + Knowledge of various FINRA, SEC , or CFTC regulations + Experience with various regulatory reports (eg CAT, CAIS, EBS, ... LOPR, etc) + Highly organized, strong attention to details, and methodical approach to analysis + Goal driven and self-motivated + Experience designing processes and controls preferred + Eligibility to work in local market The expected base salary ranges from… more
- Evolent (Albany, NY)
- …and written communication skills. **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
- KeyBank (New York, NY)
- …aligned with industry standards and benchmarks. + Analyze financial statements, SEC filings, supplemental financial data, and other relevant materials. + Build ... and maintain earnings models, identifying revenue and value-add drivers with a forward-looking perspective. + Communicate with internal and external clients, industry contacts, and company management teams regarding sector and stock insights.… more
- Evolent (Albany, NY)
- …+ Possess basic computer skills **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
- TD Bank (New York, NY)
- …of Currency Comptroller (OCC), Securities and Exchange Commission ( SEC ) and Financial Industry Regulatory Authority** **(FINRA)** **Customer Accountabilities:** ... + Assists in the development and implementation of appropriate Compliance policies, processes and controls + Facilitates the periodic Compliance risk and self-assessment activities for designated business using TD's Enterprise Compliance Risk Assessment… more
- Echelon Supply & Service (Liverpool, NY)
- …that all financial reporting is prepared in compliance with all financial policies, SEC requirements and US GAAP. Duties and Responsibilities | Oversees the general ... accounting function, which includes inter-company accounting, cash management/reconciliation, financial reporting, and balance sheet management | Accountable for ensuring that policies and procedures (internal controls) are in place to provide reasonable… more