- NBC Universal (New York, NY)
- …execution of communications strategies to enhance VERSANT's visibility with financial stakeholders. Reporting to the VP of Media Relations, the Director will manage ... and results in the marketplace. + Ensure all financial communications adhere to SEC rules, Regulation FD, and industry best practices. + Support investor days, … more
- Citizens (New York, NY)
- …dynamic environment. Key Responsibilities + Regulatory Oversight: Monitor compliance with SEC , FINRA, and global regulations related to Research, and Investment ... on compliance matters, including deal-related restrictions, research disclosures, and analyst independence. + Policy Development: Draft, update, and implement… more
- TD Bank (New York, NY)
- …strategic guidance and independent oversight of the surveillance output and analyst dispositions of alerts, and suggested enhancements to the program. Through ... 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.… more
- JPMorgan Chase (New York, NY)
- …TradeWeb, and BroadRidge systems; trade flows utilized to facilitate FINRA, SEC , and CFTC regulatory reporting ; identifying issues and inconsistencies ... or as Trading Services, Credit Trade Support Associate, Credit Trade Support Analyst , or related occupation. Skills Required: This position requires three (3) years… 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 ... both compensation and equity + Manage one Executive Compensation Analyst focused on modeling, benchmarking, and committee support +...+ * Deep knowledge of CD&A, equity plan design, SEC compliance, and governance best practices + * Strong… 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
- 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 ... of regulatory requirements relevant to the bank's Broker Dealer ( SEC / FINRA) and Swap Dealer (CFTC / NFA)...including Series 7 / 63 License or Chartered Financial Analyst (CFA) certification **Basic Qualifications:** + At least 9… more