- TD Bank (New York, NY)
- …Securities Advisory experience. Knowledge of trading algorithms, alternative trading systems and market structure preferred + Significant experience in providing ... laws, rules and regulations with the ability to assess firm impact. Specifically, FINRA, SEC , Exchange Level SROs including NYSE, NASDAQ & CBOE. + Excellent oral and… more
- Edward Jones (Patchogue, NY)
- …compensation program that supports and rewards you as you learn the skills, systems and business practices you need to succeed in our client-first business model. ... to complete ongoing training offered by the firm and regulatory authorities (FINRA and SEC ), as well as required CE training to ensure licenses remain in good… more
- SMBC (New York, NY)
- …1. Maintain entity level Risk Governance in compliance with CFTC/NFA and SEC /FINRA regulations and uphold the market risk governance framework across CUSO under ... communication skills, including business writing and presentation drafting. * Software Systems / Programming Languages: Microsoft Office Suite. Strong Excel, Word… 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 ... the world. + Experience in implementing Payments, Core Banking/post trade systems , client portals, SWIFT alliance, reconciliations, Sanctions screening and fraud… more
- KeyBank (NY)
- …and functional structure of the Key organization + Knowledge of Key's internal systems and AML Program + Knowledge of FFIEC Examination Manual and/or SEC ... AML related guidance and regulations + 5 years AML/OFAC related experience, or comparable experience **COMPETENCIES/SKILLS** + Organized + Effective written and oral communication. + Comprehends compliance laws and regulations. + Uses sound judgment. +… more
- Citigroup (New York, NY)
- …of and comfort with providing Compliance guidance in relation to applicable FINRA and SEC rules including REG SHO, 5320, Reg M. + Providing compliance coverage and ... ICRM initiatives as required, such as the implementation of new Compliance systems , controls, and related project management work efforts; + Assisting in the… more
- Citigroup (Queens, NY)
- …of both external and internal changes (ie, GSIB NPR, new reporting systems , etc.). **Responsibilities:** + Lead in-depth analysis of variances for FR Y-15 ... and partner with multiple areas across Citi, including RWA Controllers, SEC Reporting, Treasury, Risk, Accounting Policy, Financial Planning and Analysis, Legal,… more
- MTA (New York, NY)
- …fleet and more subway and commuter rail cars than all other US transit systems combined. MTA strives to provide a safe and reliable commute, excellent customer ... communities. + Responsible for meeting US Securities and Exchange Commission ( SEC ) Rule 15c2-12 filing requirements through the Municipal Securities Rulemaking Board… more
- The Research Foundation for SUNY at the University at Albany (Albany, NY)
- …lawful permanent resident, or other "protective individual" as defined by 8 USC Sec . 1324b(a)(3)." Preferred Qualifications: + An advanced degree (eg PhD, JD, MA, ... technology professionals to develop process for ensuring the adequacy of IT systems ; + disclosure and conflict-of-interest management within a university or another… more