- University of Rochester (Rochester, NY)
- …a large part in day-to-day activities as well as annual department wide reviews/ reporting on hardware end of life cycle replacement budgeting. There will also be ... 4 Weeks). + Acts as our Lead Website Content Manager , including working with Web Services, providing direct website...There will be direct responsibility for asset management, documentation, reporting and hardware end of life rotation based on… more
- 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
- 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
- Aflac (NY)
- …investment compliance and the trade operational workflows for an insurance asset manager . + Learn how to coordinate the breach investigation process and management ... reporting . + Assist with analysis of client Investment Management...trade guideline monitoring. + Monitor developments with the NAIC, SEC , Japan FSA, State DOI's and CFTC as they… 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
- 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