- 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. ... data-quality issues, implement controls to prevent recurrence, and enhance reporting mechanisms for senior management. + Stakeholder Engagement: Serve as… 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 ... Reporting , Etc. + Excellent oral and written communication skills. + Ability to make, support and defend difficult and complex regulatory/compliance decisions in a… more
- MTA (New York, NY)
- …for all investor and rating agency communications, disclosure requirements, financial reporting and Board communications on financial activities. This position works ... communities. + Responsible for meeting US Securities and Exchange Commission ( SEC ) Rule 15c2-12 filing requirements through the Municipal Securities Rulemaking Board… more
- Marex (New York, NY)
- …Technology Department delivers differentiation, scalability and security for the business. Reporting to the COO, Technology provides digital tools, software services ... quality control + Ensuring compliance with the company's regulatory requirements under the SEC , FINRA, NFA, CFTC and other applicable exchanges + Adhere to the… more
- JPMorgan Chase (New York, NY)
- …a secure and compliant environment. **Job responsibilities** + Prepare weekly reporting on regulatory exams and regulatory engagements for distribution while ... with senior management, banking and security expertise includes OCC, FRB, FDIC, SEC , FINRA, NFA, CME, and state regulators. + Coordinate onsite examinations,… more
- NBC Universal (New York, NY)
- …structures + Partner with Finance and HR Ops to ensure proper tracking, reporting , and administration of equity plans + Maintain equity policies, LTI eligibility ... in a public company + * Deep knowledge of CD&A, equity plan design, SEC compliance, and governance best practices + * Strong modeling skills and familiarity with… more
- NBC Universal (New York, NY)
- …+ Compliance & Governance + Ensure adherence to ERISA, IRS, DOL, and SEC regulations. + Maintain plan documentation and support fiduciary oversight processes. + Stay ... changes impacting retirement and financial wellbeing programs. + Data Analysis & Reporting + Prepare reports and dashboards on plan metrics, employee participation,… more
- KeyBank (Albany, NY)
- …Key Investment Services LLC (KIS) is a FINRA registered broker / dealer, SEC registered investment advisory firm and partners with KeyCorp Insurance Agency USA Inc., ... Proficiency in Microsoft Excel and PowerPoint for data analysis and reporting . + Client Relationship: Skill in building and maintaining relationships with… more
- Guardian Life (Albany, NY)
- …**You have** + Broad knowledge of the financial services industry and FINRA, SEC and State rules and regulations along with a familiarity of state insurance ... settings. + No restrictions on travel and extended periods away from home. ** Reporting Relationships** As our Compliance Analyst, you will report to the Compliance… more
- Ankura (NY)
- …Ankura Senior Managing Directors and clients with communications with the PCAOB, SEC , or other regulators on auditing, accounting, and independence matters. + You ... Accounting, with strong technical and research skills, and expertise in financial reporting , disclosure and ICFR awareness + Minimum 20+ years of relevant forensic… more
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