- TD Bank (New York, NY)
- …and industry best practice. + Knowledge of rules surrounding TRACE, MSRB RTRS Reporting and US Treasury Auctions + Identify key regulatory changes, and developments ... to ensure effective business control framework. + Provide ongoing reporting to senior management. + Develop and deliver proactive...with the ability to assess firm impact. Specifically, FINRA, SEC , CFTC, NYSE, FED and OCC. + Excellent oral… more
- Evolent (Albany, NY)
- …and tools, including automation and technology enhancements for forecasting and reporting . * Manage multiple priorities and projects simultaneously, ensuring timely ... budgeting, forecasting, and modeling. * Experience with ERP and planning/ reporting systems (Workday and Adaptive Insights preferred). * Demonstrated ability… more
- Deloitte (New York, NY)
- …or broker-dealer, including execution and oversight processes, risk assessment, reporting , controls, testing, and data analytics + Experience leading smaller ... the CFPB, the OCC, the CFTC, FINRA, and the SEC Information for applicants with a need for accommodation:… more
- Citigroup (New York, NY)
- The Sec & Derivatives Sr Grp Mgr is a senior management level position responsible for accomplishing results through the management of the Global Fixed Income and ... personal behaviour, conduct and business practices, and escalating, managing and reporting control issues with transparency. **Qualifications:** + 10+ years of… more
- TD Bank (New York, NY)
- …regulations and Firm policies related to all business activities (eg, OCC, SEC , FINRA etc.); ensures all Continuing Education requirements are attained + Responsible ... including filing, report generation, presentation material, written proposals, and spreadsheet reporting + Efficiently manages and promptly responds to all incoming… more
- Evolent (Albany, NY)
- …understanding of contact center operations, including call routing, queuing, reporting , and analytics. * Cross-Functional Collaboration: Proven experience working ... impact to your entire team. **To comply with HIPAA security standards (45 CFR sec . 164.308 (a) (3)), identity verification may be required as part of the application… more
- Evolent (Albany, NY)
- …each unique Evolent provider partner organization and EMR instance. + Define reporting and analytic needs and enablement strategies to understand the effectiveness ... health care technology is preferred. **To comply with HIPAA security standards (45 CFR sec . 164.308 (a) (3)), identity verification may be required as part of the… more
- Marex (New York, NY)
- …of client static data in order to improve efficiencies and Compliance reporting . + Ensuring compliance with the company's regulatory requirements under the ... SEC , FINRA, NFA, CFTC and other applicable regulatory bodies. + Adhere to the operational risk framework for your role ensuring that all regulatory or company… more
- Marex (New York, NY)
- …customer ad-hoc inquiries across US Rates and Credit. + Monitor and resolve reporting breaks. + Research and resolve position breaks and allocation discrepancies. + ... related breaks. + Ensuring compliance with the company's regulatory requirements under the SEC , FINRA, NFA, CFTC and other applicable exchanges. + Adhere to the… more
- 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