- HUB International (New York, NY)
- …enables our teams to maintain their own unique, regional culture while leveraging support and resources from our corporate centers of excellence. HUB is one of ... compliance with all regulatory requirements related to financial disclosures, including SEC filings, earnings releases, and investor communications. + Work closely… more
- Janus Henderson Investors (New York, NY)
- …necessary for trading access (eg, rate and/or equity futures and options) + SEC filings + Establishing all necessary cash accounts (some are tri-party with MRA/repo ... excess margin + Tracking fund financials, expenses, and reimbursements Compliance + SEC filings and audited financial statements + Developing written policies and… more
- OTC Markets Group Inc (New York, NY)
- …investor experience for currently traded companies, engage large cap clients to support continued success + Partner with existing clients to build business expansion ... Link ECN and OTC Link NQB are each an SEC regulated ATS, operated by OTC Link LLC, a...ATS, operated by OTC Link LLC, a FINRA and SEC registered broker-dealer, member SIPC. Applicants have rights under… more
- Chenega Corporation (New York, NY)
- …Senior Division of Enforcement, Trial Unit** shall provide legal research and litigation support to the United States Securities and Exchange Commission ( SEC ), ... Division of Enforcement, Trial Unit. The SEC 's Division of Enforcement utilizes a variety of data that contain current, historical and future information about sensitive public company data, mutual fund data, and trade/quote data. **Responsibilities** +… more
- Meta (New York, NY)
- …Skills:** Lead Corporate Counsel Responsibilities: 1. Assist with preparation of SEC and other corporate regulatory filings, with emphasis on proxy statements ... disclosure matters, with emphasis on governance and investor-facing disclosures 3. Support shareholder engagement efforts, including with respect to Rule 14a-8… more
- TD Bank (New York, NY)
- …Description:** The Private Client Specialist I acts as sales and relationship support for Relationship Managers and Investment Advisors who serves clients in the ... financial planning discussions and client relationship reviews. This role will support other team members (Relationship Managers, Trust Advisors, or Investment… more
- Evolent (Albany, NY)
- …performance, reliability, and functionality of contact center systems. **Essential Functions** * Support and Maintenance: Manage and provide ongoing support for ... and integrations to optimize system functionality. * Training & Support : Deliver training and hands-on support to...team. **To comply with HIPAA security standards (45 CFR sec . 164.308 (a) (3)), identity verification may be required… more
- TD Bank (New York, NY)
- …depends on us. The Senior Compliance Office provides advice, guidance and support to business units in adhering to regulatory/compliance requirements and assists in ... across multiple trading desks and asset classes. + Surveillance Data Management: Support the ingestion, transformation, and validation of trading data from multiple… more
- US Bank (New York, NY)
- …we serve to make better and smarter financial decisions and enabling the communities we support to grow and succeed. We believe it takes all of us to bring our ... at-all from Day One. **Job Description** **_What you'll do_** Support senior sales and origination officers in the identification,...10K/10Q (including the Notes to Financials) along with other SEC Reporting + 2 - 3 years' work experience,… more
- Evolent (Albany, NY)
- …this role will be part of a team who thrives on driving analysis and support for the toughest and most complex financial decisions related to our fastest growing ... to analyze financial data, engage with clients and contracting teams, and support initiatives aimed at optimizing financial performance. **What You'll Be Doing:** +… more