- TD Bank (New York, NY)
- …of investment banking products, services, and regulatory frameworks (eg, FINRA, SEC , MiFID II) + Demonstrated success in building and implementing conflict ... a competitive benefits plan, we're committed to providing the support our colleagues need to thrive both at work...and we're committed to helping you identify opportunities that support your goals. **Training & Onboarding** We will provide… more
- Marex (New York, NY)
- …to time. + Ensuring compliance with the company's regulatory requirements under the SEC , FINRA, NFA, CFTC and other applicable exchanges. + Adhere to the operational ... Nimble - Our size and flexibility is an advantage. We are big enough to support our client's various needs, and adaptable and nimble enough to respond quickly to… more
- Raymond James Financial, Inc. (New York, NY)
- …risks and adverse trends are identified and escalated + Provide compliance support to business partners, as needed + Maintain regular interaction with Compliance ... broker/dealer compliance and/or branch exams + Rules and regulations of the SEC , FINRA, and state securities regulatory agencies + Fundamental investment concepts,… more
- Broadridge Financial Solutions (Edgewood, NY)
- …for application onboarding, and delivering resilient messaging solutions that support our global infrastructure and business operations. Responsibilities: Strategic ... tooling (Datadog, similar others). + Exposure to regulatory environments (FINRA, SEC , etc.) and audit-readiness practices. Soft Skills: + Strategic mindset with… more
- Citigroup (New York, NY)
- The Sec & Derivatives Sr Grp Mgr is a...Assist with the planning of actions and resources to support new business. + Manage complex and variable operations ... related issues (eg across trade booking / settlement / confirmations / etc.), define and communicate problems, develop innovative solutions, streamline processes and lead change-the-bank initiatives. + Closely follow trends in the industry, identify cost… more
- Citigroup (New York, NY)
- …strategy, to banking, to lending and cash management we are here to support our clients comprehensively Lending is a key offering within Citi Wealth. Lending ... **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)
- …ad-hoc requests from senior management and portfolio managers + Assist with SEC or other regulatory compliance as required **Qualifications** : + Bachelor's or ... form of harassment, whether mental, verbal or physical. We do not tolerate the support of terrorist groups, acts of terrorism, or threats of violence. All who wish… more
- Evolent (Albany, NY)
- …Performance Solutions Team. The Associate Director, Performance Solutions will support Cardiovascular performance initiatives to help Evolent achieve its strategic ... managed care and/or provider engagement **To comply with HIPAA security standards (45 CFR sec . 164.308 (a) (3)), identity verification may be required as part of the… more
- Marex (New York, NY)
- …funding banks + Ensuring compliance with the company's regulatory requirements under the SEC , FINRA, NFA, CFTC and other applicable exchanges. + Adhere to the ... Nimble - Our size and flexibility is an advantage. We are big enough to support our client's various needs, and adaptable and nimble enough to respond quickly to… more
- Evolent (Albany, NY)
- …related to the Utilization Management process, interpretation, guidelines and/or system support . + On a requested basis, may function as Medical Director ... + Computer Proficiency-Required **To comply with HIPAA security standards (45 CFR sec . 164.308 (a) (3)), identity verification may be required as part of… more