- CUNY (New York, NY)
- …maintenance of health and prevention of illness and disability. Supervises the support staff including those performing health related duties. There are two ... medication regimen, test or treatment procedures, etc. - Provides psychological support to clients concerning health maintenance. - Assumes health care… more
- BlackRock (New York, NY)
- …applicable rules and regulations, in particular FINRA Rule 2210 and the SEC Investment Adviser Marketing Rule. **Key Responsibilities:** This individual will be part ... respect to guidance under the Advisers Act including the SEC Marketing Rule and other rules and regulations related...+ Participate on working groups with internal stakeholders to support PMG initiatives + Work closely with global colleagues… more
- Lincoln Financial (Albany, NY)
- …bring on a **Regulatory GAAP and Statutory Investment Reporting Analyst** to support the Investment Accounting and Reporting Team. The Investment Accounting and ... for the General Account Invested Assets on a Statutory, GAAP (specifically SEC reporting), Management and Tax basis and assisting with performing and documenting… more
- Marex (New York, NY)
- …Carry out assigned compliance testing. + Coordinate and provide Compliance Advisory support to registration, employee trading and assigned business line queries. + ... Ensuring compliance with the company's regulatory requirements under the SEC , FINRA, Various Securities Exchanges, and other applicable regulatory organizations. +… more
- Robert Half Finance & Accounting (Pittsford, NY)
- …accounting standards and regulatory requirements while providing financial insights to support strategic decision-making. The position plays a critical role in ... financial data to identify trends and provide actionable insights + Support strategic planning and executive decision-making with financial analysis + Partner… more
- Grant Thornton (Melville, NY)
- …independence for larger private equity firms for which the firm is maintaining SEC independence. + Provide teams guidance or assist them on identifying affiliates of ... audit clients under the applicable independence standard (eg, AICPA, SEC ). + Advise teams with Relationship Checking activities (eg,...path with more: more opportunity, more flexibility, and more support . It's what makes us different, and we think… more
- MetLife (New York, NY)
- …projections, and * Implement best practices and high-quality documentation to support a global accounting policy function and accounting interpretations made across ... exchange, pensions, stock compensation, mergers & acquisitions, goodwill, tax and SEC reporting and planning and projections. * Identifying and assessing technical… more
- JPMorgan Chase (New York, NY)
- …risks or control gaps in fund operations. + Maintain working knowledge of SEC rules applicable to closed-end funds, tender offers, and affiliated transactions. + ... assess their impact on fund operations and strategy. + Mentor and support colleagues with less experience in alternative fund structures or compliance leadership.… more
- Wells Fargo (New York, NY)
- …& Sales Enablement** + Partner with distribution and advisor channels to support product education and adoption. + Develop product positioning, sales materials, and ... + **Regulatory & Risk Oversight** + Ensure all products comply with FINRA, SEC , OCC, and other regulatory body requirements. + Work closely with Legal, Compliance,… more
- Marex (New York, NY)
- …process. + Ensuring compliance with the company's regulatory requirements under the SEC , FINRA, MSRB, and other regulatory rules and regulations. + Adhere to ... rules and regulations with the ability to assess firm impact. Specifically, SEC , FINRA, MSRB, and other regulatory organizations. + Excellent understanding of US… more