- 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 (White Plains, NY)
- …Americas' strategic transformation, we are seeking a Senior Program Manager for delivering enterprise-wide Artificial Intelligence governance and enablement ... of enterprise AI capabilities across the organization + Provide executive-level reporting and updates to senior leadership, including program progress, risks, and… more
- TD Bank (New York, NY)
- …assembles and prepares data and special reports, providing analysis and summaries (eg SEC research, merger & acquisition or Proxy activity) + Conducts projects as ... enterprise + Demonstrated PC skills, including proficiency with spreadsheets, reporting tools and presentation software **Preferred qualifications:** - Proficient in… 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....have regular career, development, and performance conversations with your manager , as well as access to an online learning… 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 ... structured transactions. The Global Fixed Income and Commodities Structured Middle Office manager will oversee global teams managing these this function focused on… more
- Marex (New York, NY)
- …large portion of the daily functions have been outsourced to the Broadridge Manager Products Team, Marex is ultimately accountable for all output, and thus ... across US Rates and Credit. + Monitor and resolve reporting breaks. + Research and resolve position breaks and...Ensuring compliance with the company's regulatory requirements under the SEC , FINRA, NFA, CFTC and other applicable exchanges. +… more
- TD Bank (New York, NY)
- …assembles and prepares data and special reports, providing analysis and summaries (eg SEC research, merger & acquisition or Proxy activity) + Conducts projects as ... enterprise + Demonstrated PC skills, including proficiency with spreadsheets, reporting tools and presentation software **Physical Requirements:** Never: 0%;… more
- KeyBank (NY)
- …crimes regulatory requirements. Support the AML Enterprise Team Director with reporting , project tracking, and administrative matters. Perform other duties, support ... processes as directed by the AML Enterprise Team Compliance Manager and the Team Director. **ESSENTIAL JOB FUNCTIONS** +...AML Program + Knowledge of FFIEC Examination Manual and/or SEC AML related guidance and regulations + 5 years… more
- US Bank (New York, NY)
- …read, understand, and analyze a 10K/10Q (including the Notes to Financials) along with other SEC Reporting + 2 - 3 years' work experience, preferably in a ... problems for our clients and help them grow. **As a Junior Relationship Manager - Supply Chain Finance, you'll:** + Coordinate efforts for the Originators heading… more
- TD Bank (New York, NY)
- …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. ... data-quality issues, implement controls to prevent recurrence, and enhance reporting mechanisms for senior management. + Stakeholder Engagement: Serve as… more