- JPMorgan Chase (New York, NY)
- …all relevant legal and regulatory matters, including relevant securities laws and the SEC 's Municipal Advisor Rule, fair access and related issues. + Serve on both ... private placements and direct purchases, such as bond purchase agreements, dealer manager agreements and private placement engagement letters. + Provide guidance on… more
- Regeneron Pharmaceuticals (Tarrytown, NY)
- …instruments used for biologics including HPLC-based chromatographic techniques (icIEF, SEC , IEX), biophysical methods (DLS, DSC, and UV-Vis), particle ... required to be performed on-site. Please speak with your recruiter and hiring manager for more information about Regeneron's on-site policy and expectations for your… more
- Monro Muffler/Brake (Fairport, NY)
- …+ Certified Public Accountant (CPA) highly desired. + Experience in preparing SEC filings preferred. + Motivated professional with strong analytical skills who ... job duties. Other job duties and responsibilities may also be assigned by the incumbent's Manager at any time based upon Company need. Monro Inc. is a proud Equal… more
- Siebert Williams Shank (New York, NY)
- …in New York and Oakland. SWS is a perennial leader as a co- manager of investment-grade corporate debt, a national leader in public finance investment banking, ... trading platform, and a sound regulatory capital base. We are a SEC -registered securities broker-dealer and member of the Financial Industry Regulatory Authority… more
- TD Bank (West Babylon, NY)
- …regulations and Firm policies related to all business activities (eg OCC, SEC , State Insurance Commissioners, NY Department of Financial Services, etc.) + Ensures ... 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
- SMBC (New York, NY)
- …basis. + Escalate regulatory concerns and other significant matters to their manager . + Communicate policies, procedures and new regulatory requirements simply and ... Skills** + Knowledge in US securities laws, rules and regulations, including SEC and FINRA requirements. + Ability to communicate this knowledge and applicability… more