- 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. ... issues, implement controls to prevent recurrence, and enhance reporting mechanisms for senior management. + Stakeholder Engagement: Serve as primary contact to Trade… 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 ... Ability to act and operate independently with minimal daily direction from manager to accomplish objectives + Proficiency with email and Microsoft Office… more
- Regeneron Pharmaceuticals (Sleepy Hollow, NY)
- …of the Compensation team, this role will also be the lead project manager for several corporate-wide programs and processes as outlined below. **_This role requires ... of executive pay principles, equity compensation, and related regulatory requirements ( SEC , IRS, FASB) + Experience supporting Compensation Committees and preparing… more
- 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 ... ._ Founded in 1939, Neuberger Berman is a private, independent, employee-owned investment manager . From offices in 39 cities worldwide, the firm manages $515 billion… 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
- KeyBank (NY)
- …and facilitate processes as directed by the AML Enterprise Team Compliance Manager and the Team Director. **ESSENTIAL JOB FUNCTIONS** + Facilitate audit and ... Actively participate in regulatory examinations, as required. + Provide senior managers with reports and information for the purpose...AML Program + Knowledge of FFIEC Examination Manual and/or SEC AML related guidance and regulations + 5 years… more
- JPMorgan Chase (New York, NY)
- …need to work well in a team environment, be able to represent the manager /group with professional courtesy and acumen, and deliver flawless work output. This role ... conducted by banking and securities regulators, including the OCC, FRB, FDIC, SEC , FINRA, CME, NFA, and State regulators. Your daily routine includes interaction… more