- TD Bank (New York, NY)
- …and track issues to closure. + Prepare metrics and provide details for reporting on Branch Inspection progress both internally and externally to FINRA as part ... or regulator, Branch Inspections testing a plus. + Strong knowledge of SEC , FINRA and other relevant regulatory requirements. + Strong Knowledge of operations,… more
- BMO Financial Group (New York, NY)
- …requirements + Develops and maintains compliance information for analysis and reporting . + Achieves compliance goals by maintaining current knowledge of regulatory ... preferred + Experience with a regulatory agency strongly preferred, including FINRA, SEC , NYSE + Knowledge of FICC, equities, prime brokerage, and investment banking… more
- TD Bank (New York, NY)
- …assembles and prepares data and special reports, providing analysis and summaries (eg SEC research, merger & acquisition or Proxy activity) + Conducts projects as ... enterprise + Demonstrated PC skills, including proficiency with spreadsheets, reporting tools and presentation software **Physical Requirements:** Never: 0%;… more
- Guardian Life (Albany, NY)
- …on other department projects and initiatives. **You have** + Broad knowledge of the financial services industry and FINRA, SEC and State rules and regulations ... environment in the branch office. + Timely communicate preliminary findings to your manager and branch office management verbally and then in writing. + Assist, as… 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....colleagues to help them and their families achieve their financial , physical and mental well-being goals. Total Rewards at… more
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