- TIAA (New York, NY)
- …skills. + Prior experience working directly with regulators, such as the OCC, SEC , FINRA- + Ability to identify and implement effective risk assessment processes, ... + Ability to evaluate appropriate fund selection for specific platforms and manager /fund selection process. + Ability to review, analyze, and explain fixed income… 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
- TD Bank (New York, NY)
- …mapping and control alignment. + Preference for candidate to have knowledge of SEC , CFTC, FINRA, NFA, MIFID, MAS, Future exchange rules and have an understanding ... 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
- Stony Brook University (Stony Brook, NY)
- …licensing team. The incumbent may occasionally need to function as an alliance manager on an ad-hoc basis for collaborations associated with technologies in their ... lawful permanent resident, or other "protected individual" (as defined by 8 USC Sec . 1324b(a)(3). Resume/CV and cover letter should be included with the online… more
- TD Bank (Bronx, 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
- University of Rochester (Rochester, NY)
- …call rotation (~ Every 4 Weeks). + Acts as our Lead Website Content Manager , including working with Web Services, providing direct website updates for our customers, ... the financial budget season. + Will serve in a backup capacity to our NMD and SEC Systems Engineers in support of our EMG and XLTEK systems as well as assist with… more
- BMO Financial Group (New York, NY)
- …preferred + Experience with a regulatory agency strongly preferred, including FINRA, SEC , NYSE + Knowledge of FICC, equities, prime brokerage, and investment banking ... 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
- GovCIO (Albany, NY)
- …and Experience + Clearance Required: Secret + 3+ years' experience with Dev/ Sec /Ops development strategies. + 3+ years' experience with Agile development processes ... + During the Interview Process + Virtual video interview conducted via video with the hiring manager and/or team + Camera must be on + A valid photo ID must be… more
- BMO Financial Group (New York, NY)
- …transactions to ensure accuracy and that transactions conform to the regulations of SEC , NASD, and other regulatory agencies. + Tracks supply and demand and ... 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
- 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
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