- Guardian Life (Albany, NY)
- …on other department projects and initiatives. **You have** + Broad knowledge of the financial services industry and FINRA, SEC and State rules and regulations ... settings. + No restrictions on travel and extended periods away from home. ** Reporting Relationships** As our Compliance Analyst, you will report to the Compliance… more
- Guardian Life (New York, NY)
- …compliance program effectiveness and efficiencies. **You have** + Broad knowledge of the financial services industry and FINRA, SEC and State rules and ... and verbal communication skills with comfort making presentations in various settings. ** Reporting Relationships** As our Compliance Analyst, you will report to the… more
- Marex (New York, NY)
- Diversified. Resilient. Dynamic. Marex is a global financial services platform, providing essential liquidity, market access and infrastructure services to clients ... in the energy, commodities and financial markets. The Group provides comprehensive breadth and depth of coverage across four core services: Market Making, Clearing,… more
- Broadridge Financial Solutions (Edgewood, NY)
- …join our dynamic team in our Edgewood, NY location. In this role reporting to the Manager of Production Operations, you will oversee insertion operations, ensuring ... all client mailings on production floor to ensure all SEC and contractual requirements are met.You will monitor production...or by sending an email to ###@broadridge.com . Broadridge Financial Solutions, Inc. (NYSE: BR) , is a global… more
- Evolent (Albany, NY)
- …new ventures that have a dramatic impact within a vibrant, mission-driven culture. Reporting directly to the Chief Strategy & Growth Officer, you will regularly ... each interaction + Fluency with pro forma development and financial modeling + Evidence of strong collaboration and teamwork...degree **To comply with HIPAA security standards (45 CFR sec . 164.308 (a) (3)), identity verification may be required… more
- Citigroup (Getzville, NY)
- The Sec & Derivatives Sr Analyst is an intermediate level position responsible for processing orders and transactions originating from trading desks and branch ... + Prepare expense budgets, analyze expense calculations, and prepare unaudited financial statements + Ascertain fund value and allocate values to each… more
- Raymond James Financial, Inc. (New York, NY)
- …all exam findings to branch management, exam managers and compliance leadership + Provide reporting of exam findings and complete any related follow up in a timely ... and/or branch exams + Rules and regulations of the SEC , FINRA, and state securities regulatory agencies + Fundamental...practices, and procedures used in the securities industry + Financial markets and products **Skill in:** + Thorough and… 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....colleagues to help them and their families achieve their financial , physical and mental well-being goals. Total Rewards at… more
- Grant Thornton (New York, NY)
- …Audit or Transaction Advisory Services + Current knowledge in US GAAP, GAAS, SEC Reporting , transaction advisory services or mergers and acquisitions + Purchase ... + Planning, executing, directing, and completing real estate valuations for financial and corporate strategic buyers from a variety of industries, including… more