- 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
- 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
- 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
- BMO Financial Group (New York, NY)
- …requirements + Develops and maintains compliance information for analysis and reporting . + Achieves compliance goals by maintaining current knowledge of regulatory ... preferred + Experience with a regulatory agency strongly preferred, including FINRA, SEC , NYSE + Knowledge of FICC, equities, prime brokerage, and investment banking… 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
- 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
- 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 ... + * Deep knowledge of CD&A, equity plan design, SEC compliance, and governance best practices + * Strong...three days per week. Subject to change based on Manager discussion or business need. As part of our… more
- NBC Universal (New York, NY)
- …+ Compliance & Governance + Ensure adherence to ERISA, IRS, DOL, and SEC regulations. + Maintain plan documentation and support fiduciary oversight processes. + Stay ... retirement and financial wellbeing programs. + Data Analysis & Reporting + Prepare reports and dashboards on plan metrics,...three days per week. Subject to change based on Manager discussion or business need. As part of our… more
- Guardian Life (Albany, NY)
- …environment in the branch office. + Timely communicate preliminary findings to your manager and branch office management verbally and then in writing. + Assist, as ... Broad knowledge of the financial services industry and FINRA, SEC and State rules and regulations along with a...restrictions on travel and extended periods away from home. ** Reporting Relationships** As our Compliance Analyst, you will report… more