- TD Bank (New York, NY)
- …have previous compliance experience, preferably in an advisory capacity. The Senior Manager will provide support to the overall Markets Advisory Compliance team ... with the ability to assess firm impact. Specifically, FINRA, SEC , CFTC, NYSE, FED and OCC. + Excellent oral...have regular career, development, and performance conversations with your manager , as well as access to an online learning… 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 ... 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
- Neuberger Berman (New York, NY)
- …ad-hoc requests from senior management and portfolio managers + Support SEC and other regulatory compliance activities as needed **Qualifications:** + Bachelor's ... ._ Founded in 1939, Neuberger Berman is a private, independent, employee-owned investment manager . From offices in 39 cities worldwide, the firm manages $515 billion… more
- BMO Financial Group (New York, NY)
- …Fixed Income Compliance team in New York with a focus on FINRA and SEC broker-dealer requirements and corresponding oversight. We are looking for someone to work ... help our customers reach theirs. From in-depth training and coaching, to manager support and network-building opportunities, we'll help you gain valuable experience,… more
- TD Bank (New York, NY)
- …laws, rules and regulations with the ability to assess firm impact. Specifically, FINRA, SEC , Exchange Level SROs including NYSE, NASDAQ & CBOE. + Excellent oral and ... 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
- Citigroup (New York, NY)
- The Sec & Derivatives Sr Grp Mgr is a senior management level position responsible for accomplishing results through the management of the Global Fixed Income and ... structured transactions. The Global Fixed Income and Commodities Structured Middle Office manager will oversee global teams managing these this function focused on… more
- TD Bank (New York, NY)
- …regulations and Firm policies related to all business activities (eg, OCC, SEC , FINRA etc.); ensures all Continuing Education requirements are attained + Responsible ... 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
- 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
- Marex (New York, NY)
- …large portion of the daily functions have been outsourced to the Broadridge Manager Products Team, Marex is ultimately accountable for all output, and thus ... related breaks. + Ensuring compliance with the company's regulatory requirements under the SEC , FINRA, NFA, CFTC and other applicable exchanges. + Adhere to the… 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 ... 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