• CAT/Cais Reporting Analyst -Remote Flexibility…

    Raymond James Financial, Inc. (New York, NY)
    …+ Compiles operational information for internal and external auditors (eg FINRA, SEC ) with limited oversight + Plans and executes remediation efforts for any ... identified issues with minimal guidance/support from Supervisor/ Manager ; assists the Manager or Senior Analyst...+ Trading life cycle (Orders, Executions, Allocations) + FINRA, SEC and Exchange trading rules, regulations and laws **Skill… more
    Raymond James Financial, Inc. (09/30/25)
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  • Compliance Officer Senior-Commercial

    City National Bank (New York, NY)
    …all Bank Compliance policies and procedures as well as all regulatory requirements (eg SEC Rule 204, SEC Rule 206, Regulation Best Interest, Code of Conduct, ... be accustomed to working with deadlines. * Certified Regulatory Compliance Manager (CRCM), Certified Internal Auditor (CIA), and/or Certified Financial Services… more
    City National Bank (09/13/25)
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  • Director, Media Relations

    NBC Universal (New York, NY)
    …and results in the marketplace. + Ensure all financial communications adhere to SEC rules, Regulation FD, and industry best practices. + Support investor days, ... releases, executive remarks, and media Q&As. + Experience navigating SEC disclosure rules, Regulation FD, and governance-related communications. ADDITIONAL DETAILS… more
    NBC Universal (09/27/25)
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  • Analyst, Executive Compensation

    NBC Universal (New York, NY)
    …Governance & Compliance + Ensure compliance with regulatory requirements including SEC disclosures, proxy reporting, and internal governance policies. + Support the ... MarketPay, Equity Edge) is a plus. + Familiarity with SEC regulations, proxy disclosures, and executive pay governance. +...three days per week. Subject to change based on Manager discussion or business need. As part of our… more
    NBC Universal (09/13/25)
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  • Asset Assessment Team Lead

    GovCIO (Albany, NY)
    …of the consolidated financial statements and all filings for submission to the SEC . + Analyzes revenue and expenditure variances relative to the adopted budget and ... quarterly and annual financial data in support of the SEC filings, as well as preparation of internal management...Virtual video interview conducted via video with the hiring manager and/or team + Camera must be on +… more
    GovCIO (09/07/25)
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  • Clinical Field Staff Supervisor (CFSS)-…

    HCR Home Care (Rochester, NY)
    …all new interim orders before they are sent to physician. Notify Clinical Manager /Regional Director if unable to approve the order. + Assure orders are written ... and email clinician to review and n otify case manager and physician , as appropriate . + En...information regarding all telephone calls into the coordination notes sec tion of HCHB. + N otify staff ,… more
    HCR Home Care (08/13/25)
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  • Associate Vice President, Compliance, US, TD…

    TD Bank (New York, NY)
    …laws, rules and regulations with the ability to assess firm impact. Specifically, SEC , CFTC, FINRA, NFA, FED and OCC. + strategy development and execute effectively ... parts of the organization given many responsibilities + Effective manager looked to as a mentor + Ability to...have regular career, development, and performance conversations with your manager , as well as access to an online learning… more
    TD Bank (10/04/25)
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  • Cloud Engineering, Vice President

    MUFG (New York, NY)
    …AWS and Azure implementations including, - Azure active directory, data governance, resource manager , container services, and configuration manager . - AWS IAM & ... - Infrastructure as Code (Terraform, Cloudformation, Ansible, Python). - Dev/ Sec /Ops tooling (Pipelines, AzureDevops, Github Actions, Jenkins etc) - Kubernetes… more
    MUFG (10/02/25)
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  • Controller - Specialty Finance

    Neuberger Berman (New York, NY)
    …ad-hoc requests from senior management and portfolio managers + Assist with SEC or other regulatory compliance as required **Qualifications** : + Bachelor's or ... Ability to act and operate independently with minimal daily direction from manager to accomplish objectives + Proficiency with email and Microsoft Office… more
    Neuberger Berman (08/08/25)
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  • Exec Admin Asst II (Forest Hills)

    TD Bank (Forest Hills, NY)
    …assembles and prepares data and special reports, providing analysis and summaries (eg SEC research, merger & acquisition or Proxy activity) + Conducts projects as ... you succeed. You'll have regular career, development, and performance conversations with your manager , as well as access to an online learning platform and a variety… more
    TD Bank (10/04/25)
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