- Bank of America (New York, NY)
- …Experience with securities and corporate legal matters. + Working knowledge of SEC and broker-dealer regulations. + Candidate must be a highly motivated self-starter ... factor prohibited by law, and as such affirms in policy and practice to support and promote the concept of equal employment opportunity, in accordance with all… more
- Hold Brothers (New York, NY)
- About the Job: Hold Brothers Capital, LLC, is a FINRA Registered, SEC , Self-Clearing Broker Dealer. We strive to be a complete destination for traders looking to ... Also highly customizable upon trader request. + First class, in-house tech support , and connectivity + Remote trading available + Self-Clearing Capabilities (which… more
- Evolent (Albany, NY)
- …engineers in designing, building, integrating and maintaining data pipelines to support healthcare data integration and operations. This role involves managing data ... in a team-oriented environment. **To comply with HIPAA security standards (45 CFR sec . 164.308 (a) (3)), identity verification may be required as part of the… more
- Citigroup (Getzville, NY)
- …related governance and oversight transformation (MCA, DCRM, EUC, etc.), and support role for all internal and external reg engagements. **Key Responsibilities** ... to Financial Industry related regulations will be a plus. + Familiarity with SEC Rule15c3-1 & 15c3-3, brokerage accounting, and broker-dealer regulatory filing is a… more
- Mizuho Corporate Bank (New York, NY)
- …in collaborations with other stakeholders (eg, legal, compliance, IT, etc.) to support the creation and maintenance of these reports. This role will provide ... work within a team in a dynamic environment + Knowledge of various FINRA, SEC , or CFTC regulations + Experience with various regulatory reports (eg CAT, CAIS, EBS,… more
- Evolent (Albany, NY)
- …to the Utilization Management process, interpretation, guidelines and/or system support . . Participates in on-going training per inter-rater reliability 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
- SMBC (New York, NY)
- …reporting, and documentation to stakeholders at all levels. + Support the operationalization of enterprise data capabilities including data retention, ... with regulatory and industry standards such as BCBS 239, GDPR, or OCC/ SEC data compliance expectations. + Prior experience implementing data tools or platforms… more