- Neuberger Berman (New York, NY)
- …investor relations to address LP inquiries + Complete various ad-hoc requests from senior management and portfolio managers + Support SEC and other regulatory ... compliance activities as needed **Qualifications:** + Bachelor's degree or higher in Accounting or Finance + Strong understanding of accounting principles, fund accounting, and financial reporting + 4-7 years of accounting/finance experience; CPA preferred +… more
- TD Bank (New York, NY)
- …laws, rules and regulations with the ability to assess firm impact. Specifically, FINRA, SEC , Exchange Level SROs including NYSE, NASDAQ & CBOE. + Excellent oral and ... + Ability to project confidence and professionalism in dealings with senior business personnel. + Strong knowledge of technology infrastructure and global… more
- Citigroup (New York, NY)
- …families, including entrepreneurs and business owners, single-and multi-family offices, senior corporate executives, next generation/inherited wealth, law firms and ... **Job Family Group:** Private Client Product Services **Job Family:** IF Margin & Sec Backed Finance **Time Type:** Full time **Primary Location:** New York New York… more
- Neuberger Berman (New York, NY)
- …requests from senior management and portfolio managers + Assist with SEC or other regulatory compliance as required **Qualifications** : + Bachelor's or higher ... degree in Accounting or Finance + Strong understanding of accounting theory and fund accounting and financial reporting + 8 - 12 years accounting/finance experience; CPA required + Experience with credit related products, including loan settlement and trade… more
- Capital One (New York, NY)
- …Product, Commercial Bank Capital Markets **Capital Markets | Head of Product | Senior Director** The Capital Markets Group is a high growth business within Capital ... with working knowledge of regulatory requirements relevant to the bank's Broker Dealer ( SEC / FINRA) and Swap Dealer (CFTC / NFA) activities. + Thought leader… more
- Evolent (Albany, NY)
- …is recorded in a timely and accurate manner. + May assist the Senior Medical Director in research activities/questions related to the Utilization Management process, ... by a state medical board **To comply with HIPAA security standards (45 CFR sec . 164.308 (a) (3)), identity verification may be required as part of the application… more
- Broadridge Financial Solutions (New York, NY)
- …to the Global Head of Custom Policy, this Director will act as a senior subject matter expert, driving both client and internal stakeholder success. We are made ... consulting strongly preferred. + Deep understanding of industry trends, SEC /ESG regulations, and stewardship frameworks. + Experience collaborating with internal… more
- KeyBank (NY)
- …and projects. + Actively participate in regulatory examinations, as required. + Provide senior managers with reports and information for the purpose of day to day ... internal systems and AML Program + Knowledge of FFIEC Examination Manual and/or SEC AML related guidance and regulations + 5 years AML/OFAC related experience, or… more
- KeyBank (NY)
- …and projects. + Actively participate in regulatory examinations, as required. + Provide senior managers with reports and information for the purpose of day to day ... internal systems and AML Program + Knowledge of FFIEC Examination Manual and/or SEC AML related guidance and regulations + 5 years AML/OFAC related experience, or… more
- JPMorgan Chase (New York, NY)
- …conducted by banking and securities regulators, including the OCC, FRB, FDIC, SEC , FINRA, CME, NFA, and State regulators. Your daily routine includes interaction ... good judgment in confidential situations, and proven experience interacting with senior management + Strong interpersonal, written, and oral communication skills +… more