- Capital One (New York, NY)
- …risk, and execute on trades and transactions in a well-managed and compliant manner. Reporting to Chief Product Officer of the Commercial Bank and sitting on the ... with working knowledge of regulatory requirements relevant to the bank's Broker Dealer ( SEC / FINRA) and Swap Dealer (CFTC / NFA) activities. + Thought leader… more
- Deloitte (New York, NY)
- …or broker-dealer, including execution and oversight processes, risk assessment, reporting , controls, testing, and data analytics + Experience leading smaller ... and organizations including the FRB, the CFPB, the OCC, the CFTC, FINRA, and the SEC The wage range for this role takes into account the wide range of factors… 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 ... enterprise + Demonstrated PC skills, including proficiency with spreadsheets, reporting tools and presentation software **Physical Requirements:** Never: 0%;… more
- Citigroup (Getzville, NY)
- The Sec & Derivatives Lead Analyst is a senior level position responsible for product management in the FX and Treasury Operations teams. **_Responsibilities:_** + ... personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency. **_Qualifications:_** + 6-10 years of… more
- KeyBank (NY)
- …crimes regulatory requirements. Support the AML Enterprise Team Director with reporting , project tracking, and administrative matters. Perform other duties, support ... internal systems and AML Program + Knowledge of FFIEC Examination Manual and/or SEC AML related guidance and regulations + 5 years AML/OFAC related experience, or… more
- Mastercard (Harrison, NY)
- …support with moderate to complex accounting issues and assists in the review of reporting deliverables to assure compliance with SEC requirements - Assists with ... training and communication of new accounting pronouncements by developing training content and memos - Assist with discussions and provide specific recommendations to VP, Technical Accounting - Assist in special requests from Senior Management for analysis,… more
- JPMorgan Chase (New York, NY)
- …roles within the financial sector. + In-depth knowledge of FINRA, MSRB, and SEC rules and regulations. + Strong critical thinking and analytical skills to assess ... situations. + Familiarity with office software applications for efficient data management and reporting . + Must hold FINRA Series 7 and one or more of the… more
- Raymond James Financial, Inc. (New York, NY)
- …all exam findings to branch management, exam managers and compliance leadership + Provide reporting of exam findings and complete any related follow up in a timely ... broker/dealer compliance and/or branch exams + Rules and regulations of the SEC , FINRA, and state securities regulatory agencies + Fundamental investment concepts,… more
- MUFG (New York, NY)
- …and Sales Panels working with Front Office on bookings, allocations, and Regulatory reporting + Send trade-recap to customer clients and request for allocations. + ... paper trade flow and all settlements throughout course of day + Work with Repo and Sec Lend desks in regards to funding/settlements of CP and UST cash trades + Work… more
- Evolent (Albany, NY)
- …Familiarity with **Agile/Scrum methodologies** . + Exposure to **data visualization** and ** reporting tools** for test metrics and dashboards. **To comply with HIPAA ... security standards (45 CFR sec . 164.308 (a) (3)), identity verification may be required as part of the application process. This is collected for compliance and… more