- BlackRock (New York, NY)
- …businesses. Their investments also help to strengthen the global economy: support businesses small and large; finance infrastructure projects that connect and ... with 1+ years advertising review experience. + Strong familiarity with FINRA and SEC advertising rules. + Series 7 registration required; Series 63 and 24 preferred… more
- TD Bank (Brooklyn, NY)
- …regulations and Firm policies related to all business activities (eg OCC, SEC , State Insurance Commissioners, NY Department of Financial Services, etc.) + Ensures ... professional manner + Is involved in the community and support TDBG charity and community initiatives **Education & Experience:**...the Bank, those we serve, and the economies we support . We are guided by our vision to Be… more
- BlackRock (New York, NY)
- …would include, but not be limited to, providing legal advice and support relating to the structuring, launch, distribution and day-to-day operations of products ... as well as ETFs more broadly. The attorney will provide legal support to key partners including product development, business operations, and portfolio management,… more
- Evolent (Albany, NY)
- …+ Strategically build clinical and administrative leadership relationships to support business development activities across key health systems, oncology groups, ... + Partner with oncology group leadership to build change management processes and support the practice pull through activities needed to drive change at scale… more
- TD Bank (Middle Village, NY)
- …regulations and Firm policies related to all business activities (eg OCC, SEC , State Insurance Commissioners, NY Department of Financial Services, etc.) + Ensures ... professional manner + Is involved in the community and support TDBG charity and community initiatives **Education & Experience:**...the Bank, those we serve, and the economies we support . We are guided by our vision to Be… 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 ... Team. This attorney will lead a team of legal professionals who provide legal support for US Bank's Global Capital Markets group, which includes the Investment Grade… more
- JPMorgan Chase (Brooklyn, NY)
- …Policy, Regulatory Reporting Policy, Inter-entity Analysis, Quality Review & Control and SEC Reporting teams. The Regulatory Reporting Policy team work closely with ... Firmwide guidance documents, interpretation of regulatory reporting rules and instructions, support our internal stakeholders to ensure the Firm's compliance with… more
- Dow Jones (New York, NY)
- …products and technologies. About the Role: This is a position that will support the Dow Jones Internal Controls and SOX Compliance programs. This position will ... management's assessment and testing of technology related controls. + Support IT system owners and control owners in the...4 firms, in an audit capacity understanding US regulatory, SEC and PCAOB requirements + Proven track record of… more
- Grant Thornton (New York, NY)
- …and methods to a variety of analyses - all with the resources, environment, and support to help you excel. From day one, you'll be empowered by the greater CFO ... Overseeing the assembly, maintenance, and finalization of working papers that support real estate valuations. + Managing client expectations concerning project… more
- BMO Financial Group (New York, NY)
- …Fixed Income Compliance team in New York with a focus on FINRA and SEC broker-dealer requirements and corresponding oversight. We are looking for someone to work ... regulatory compliance controls are operating and aligned to regulatory requirements. + Support root cause analysis in response to material control failures in… more