- MUFG (New York, NY)
- …assigned BSA/AML projects and audits (eg, planning, fieldwork testing, reporting , issues validation, etc.) and independently owning audit administration activities ... effectively convey significance and impact on risk and/or risk management practices, reporting findings and audit issues to Audit Management. + Prepare workpapers… more
- Raymond James Financial, Inc. (New York, NY)
- …necessary changes. + **Operational Review:** Ensure compliance with regulatory reporting requirements, trade confirmations and other operations/ middle office ... to improve operational efficiencies of compliance systems. + **Monitoring & Reporting :** Oversee exception reports, review corrective actions, and prepare compliance… more
- University of Rochester (Rochester, NY)
- …a large part in day-to-day activities as well as annual department wide reviews/ reporting on hardware end of life cycle replacement budgeting. There will also be ... There will be direct responsibility for asset management, documentation, reporting and hardware end of life rotation based on...serve in a backup capacity to our NMD and SEC Systems Engineers in support of our EMG and… more
- TD Bank (New York, NY)
- …and track issues to closure. + Prepare metrics and provide details for reporting on Branch Inspection progress both internally and externally to FINRA as part ... or regulator, Branch Inspections testing a plus. + Strong knowledge of SEC , FINRA and other relevant regulatory requirements. + Strong Knowledge of operations,… more
- Neuberger Berman (New York, NY)
- …updating licenses, overseeing terminations, state registrations, and related regulatory reporting . **Key Responsibilities:** + Review and complete pre-hire Workday ... + Manage FINRA Gateway queues, reports, and information requests + Provide reporting to business management, supervision and compliance teams to ensure regulatory… more
- Citigroup (New York, NY)
- The Sec & Derivatives Lead Analyst is a senior level position responsible for processing orders and transactions originating from trading desks and branch offices in ... personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency. **Qualifications:** + 6-10 years of… more
- BMO Financial Group (New York, NY)
- …that root causes are identified, and appropriate corrective actions are taken. + Reporting and Communication: Prepare and present reports on conduct risk issues to ... the Broker Dealer and Banking Regulations, which include but not limited to SEC , FINRA, OCC, FRB, NFA and CFTC. + Demonstrated analytical, auditing, writing,… more
- Guardian Life (New York, 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 ... and verbal communication skills with comfort making presentations in various settings. ** Reporting Relationships** As our Compliance Analyst, you will report to the… more
- Stony Brook University (Stony Brook, NY)
- …stakeholders such as OR&I and others, using SQL, SSRS, and other reporting tools from relational databases and other application data sources. Document applications, ... permanent resident, or other "protected individual" (as defined by 8 USC Sec . 1324b(a)(3). **_Stony Brook University is committed to excellence in diversity and… more
- Amazon (New York, NY)
- …Network+ or Security+, or certification in an applicable field like A+, Net+, Sec +, CCNA, LPIC, Linux+, AWS certification - Experience with Active Directory, or ... with analytical tools and ability to dive deep into metrics and reporting - Experience creating process documentation - Experience supporting video conference and… more