- JPMorgan Chase (Brooklyn, NY)
- Join our dynamic External Reporting team as an Associate controller, and play a pivotal role in our line of business results, feeding into firmwide reporting. As an ... External Reporting Associate within the Commercial & Investment Bank team, you...results with various lines of business, Regulatory Controllers, and SEC reporting teams + Assist in the thorough assessment… more
- Broadridge Financial Solutions (New York, NY)
- …team. Broadridge Disclosure Solutions is seeking a Capital Markets Client Service Associate to join our high-performance Capital Markets team in New York City. ... other pivotal market transactions, ensuring timely, accurate, and compliant delivery of SEC filings and other critical communications. We are looking for a… more
- OTC Markets Group Inc (New York, NY)
- OTC Markets Group Inc Associate , Investor Access OTC Markets Group - New...Link ECN and OTC Link NQB are each an SEC regulated ATS, operated by OTC Link LLC, a ... operator of premier US financial marketplaces, is seeking an Associate , Investor Access to join our Investor Access team...FINRA and SEC registered broker-dealer, member SIPC. Applicants have rights under… more
- Regeneron Pharmaceuticals (Tarrytown, NY)
- We are seeking an ** Associate Scientist** to join Reagent group within our Therapeutic Proteins department. You will join our ongoing efforts to purify and ... biochemical characterize of protein reagents. **As an Associate Scientist, a typical day might include:** + Purifying...by liquid chromatography such as affinity, IEX, HIC, and SEC . + Doing protein characterization of reagents by Western… more
- City National Bank (New York, NY)
- *CLIENT SERVICE ASSOCIATE SENIOR CNS* WHAT IS THE OPPORTUNITY? Serve as a registered representative for City National Securities (CNS). Process stock, option, fixed ... process employee stock option trades and trades pursuant to SEC 10B5-1 Sales plans. * Work with National Financial...funds, margin accounts, and options required. * Knowledge of SEC and FINRA rules and regulations required. * Excellent… more
- BlackRock (New York, NY)
- …applicable rules and regulations, in particular FINRA Rule 2210 and the SEC Investment Adviser Marketing Rule. **Key Responsibilities:** This individual will be part ... matter expert with respect to guidance under the Advisers Act including the SEC Marketing Rule and other rules and regulations related to marketing and investor… more
- JPMorgan Chase (New York, NY)
- …examinations and audits Required qualifications, capabilities, and skills + Knowledge of SEC , FINRA and MSRB rules relevant to securities trading with focus on ... regulatory trade reporting, best execution, distribution of issues, and SEC Market Access rule + Strong written and oral executive-level communications skills +… 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 ... range of asset classes and global markets. **Role Description** We are seeking an Associate to join the iShares Communications Review team. This team is tasked with… more
- Evolent (Albany, NY)
- …better health outcomes and a more connected care journey. We are hiring an Associate Director to join our Performance Solutions Team. The Associate Director, ... managed care and/or provider engagement **To comply with HIPAA security standards (45 CFR sec . 164.308 (a) (3)), identity verification may be required as part of the… more
- SMBC (New York, NY)
- …SMBC Capital Markets, Inc. (CM) is seeking a Market Risk Governance Associate within its Risk Management Department. This role will oversee coverage across ... efficiency of our risk organization in the US. The Associate will collaborate with teams in the Front Office,...entity level Risk Governance in compliance with CFTC/NFA and SEC /FINRA regulations and uphold the market risk governance framework… more