- TD Bank (New York, NY)
- …of the business + Develops and implements relevant sales force management and reporting tools and metrics; Provides analysis and reporting of progress, pipeline ... compliance and regulatory issues related to US Securities and financial markets (OCC, SEC , FINRA, and State Securities Regulators) + Expert human relations skills in… more
- Citigroup (New York, NY)
- …of and comfort with providing Compliance guidance in relation to applicable FINRA and SEC rules including REG SHO, 5320, Reg M. + Providing compliance coverage and ... behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency. **Qualifications:** + Highly motivated, strong… more
- Evolent (Albany, NY)
- …provider engagement and practice transformation efforts in the **New Mexico** . Reporting to the National Provider Engagement Sr. Director, you will be responsible ... to align priorities and deliver high-quality provider network engagement, performance reporting , and present to health plans clients + Maintain detailed records… 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 ... issues and help implement controls to prevent recurrence, and enhance reporting mechanisms for senior management. + Stakeholder Engagement: Collaborate with Trade… more
- SMBC (New York, NY)
- …identification and creation of management observations, and in the incident reporting process, including root cause analysis; + Produces periodic management ... reporting , and presents escalation items to senior management and...of US compliance laws, rules and regulations (eg, FRB, SEC , FINRA, NFA, FDIC); + Strong leadership, communication, and… more
- Mizuho Corporate Bank (New York, NY)
- …meets regulatory expectations and industry best practice Assist with Metrics reporting and governance process (ie review and challenge, monitoring, maintenance of ... and control functions Knowledge of the Volcker Rule (and metrics reporting requirements) required Knowledge of -Bank regulations, Commodity Futures Trading… more
- Evolent (Albany, NY)
- …new products and strategy innovations into existing analytical models and reporting frameworks + Developing analytical models and synthesizing complex analyses into ... + Knowledge of health insurance financial business cycle, healthcare quality reporting , and benchmarking + Ability to communicate clearly with diverse stakeholders… more
- Snap Inc. (New York, NY)
- …you'll do: + Assist with corporate and securities law matters, including preparing SEC filings such as registration statements, Forms 10-K, 10-Q, and 8-K, and ... You'll be involved in all aspects of the public reporting process, starting from drafting reports to preparing remarks...Solid foundational knowledge of Securities Act and Exchange Act reporting and compliance. + Strong business judgment, and the… more
- KeyBank (Albany, NY)
- …review, financial planning oversight, customer complaint research and resolution, periodic reporting , audit responses, sales trend identification, reporting and ... apply financial needs analysis and asset allocation concepts. *Strong knowledge of SEC & FINRA rules & regulations **Competencies / Skills** *Excellent communication… more
- SMBC (White Plains, NY)
- …of enterprise AI capabilities across the organization + Provide executive-level reporting and updates to senior leadership, including program progress, risks, and ... + Ensure compliance with regulatory frameworks such as BCBS 239, GDPR, OCC/ SEC expectations, and internal audit standards + Conduct governance reviews and ensure… more