- TD Bank (New York, NY)
- …Ensure TDS meet regulatory requirements as it related to surveillance data (eg, SEC , CFTC, NFA, FINRA, FCA, CIRO, etc.) and aligns with internal compliance policies. ... 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 (Flushing, 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
- 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
- TD Bank (New York, NY)
- …and regulations with the ability to assess firm impact. Specifically, FED, FINRA, SEC , CFTC, NYSE, and OCC. + Excellent oral and written communication skills. + ... 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)
- …or regulator, Branch Inspections testing a plus. + Strong knowledge of SEC , FINRA and other relevant regulatory requirements. + Strong Knowledge of operations, ... 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)
- …of Currency Comptroller (OCC), Securities and Exchange Commission ( SEC ) and Financial Industry Regulatory Authority** **(FINRA)** **Customer Accountabilities:** ... 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
- Truist (New York, NY)
- …7. Knowledge of and experience with the Capital Markets Regulatory Environment - ( SEC , FINRA, CFTC, NFA, FED) 8. Knowledge of and experience with automation test ... Able to work all hours scheduled, including overtime as directed by manager /supervisor and required by business need. **Travel** Minimal and up to 10%… more
- Danaher Corporation (Cortland, NY)
- …Clarifications, Orders and Change Orders. This position reports to the Technical Solutions Manager - Americas and is part of the Technical Sales Team located in ... in: + Fluent in English and Spanish + Fluent in Portuguese + ASME Sec VIII Div 1 Pressure vessel knowledge Pall Corporation, a Danaher operating company, offers… more
- TD Bank (New York, NY)
- …ensure TDS meets regulatory requirements as it relates to surveillance data (eg, SEC , CFTC, NFA, FINRA, FCA, CIRO, etc.) and aligns with internal compliance ... 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
- 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
Recent Jobs
-
Respiratory Care Technician
- Saint Francis Health System (Tulsa, OK)
-
Nurse Manager (RN or LPN)
- Sea Mar Community Health Centers (Tacoma, WA)
-
Radiology Service Engineer I
- Atlantic Health System (Morristown, NJ)