- Robert Half Finance & Accounting (Pittsford, NY)
- …Lead recruitment, retention, and performance management efforts + Oversee financial reporting systems to ensure efficiency and accuracy + Develop and monitor the ... in Microsoft Word, Excel, and PowerPoint + Familiarity with ERP/accounting systems + Proven leadership experience, including team management and development +… more
- City National Bank (New York, NY)
- …fixed income, and mutual fund orders into the National Financial Services (NFSC) system in accordance with applicable FINRA regulations. * Work with CNB colleagues ... process employee stock option trades and trades pursuant to SEC 10B5-1 Sales plans. * Work with National Financial...funds, margin accounts, and options required. * Knowledge of SEC and FINRA rules and regulations required. * Excellent… more
- Scotiabank (New York, NY)
- …examinations by evaluating and responding to requests from regulators including SEC , FINRA, NY Federal Reserve, and US Treasury Department. In coordination ... Internal Control to reinforce the Scotiabank US front office system of supervision and control. + Providing guidance for...equities sales and trading business. + Knowledge of relevant SEC and FINRA rules and regulations pertaining to Sales… 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. + ... roles within asset management or financial services. + Expertise in SEC regulations applicable to registered investment companies, particularly closed-end interval… more
- Marex (New York, NY)
- …business partners (ie, Surveillance, IT, Operations etc.) to develop and enhance systems , tools, reports, and processes to monitor business activities. + Serve as ... + Ensuring compliance with the company's regulatory requirements under the SEC , FINRA, Various Securities Exchanges, and other applicable regulatory organizations. +… more
- Marex (New York, NY)
- …business partners (ie, Surveillance, IT, Operations etc.) to develop and enhance systems , tools, reports, and processes to monitor business activities. + Serve as ... process. + Ensuring compliance with the company's regulatory requirements under the SEC , FINRA, MSRB, and other regulatory rules and regulations. + Adhere to… more
- OTC Markets Group Inc (New York, NY)
- …Venture Market and Pink(R) Open Market. Our OTC Link(R) Alternative Trading Systems (ATSs) provide critical market infrastructure that broker-dealers rely on to ... 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
- OTC Markets Group Inc (New York, NY)
- …Venture Market and Pink(R) Open Market. Our OTC Link(R) Alternative Trading Systems (ATSs) provide critical market infrastructure that broker-dealers rely on to ... 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)
- …research and litigation support to the United States Securities and Exchange Commission ( SEC ), Division of Enforcement, Trial Unit. The SEC 's Division of ... written communication skills. + Possess knowledge of federal and state court systems . + Litigation and trial experience to include interviewing witnesses. + Ability… more
- Regeneron Pharmaceuticals (Tarrytown, NY)
- …and antibodies for ongoing therapeutic programs using standard purification systems and automated equipment + Conducting protein purification and characterization ... by liquid chromatography such as affinity, IEX, HIC, and SEC . + Doing protein characterization of reagents by Western blotting, SDS PAGE electrophoresis, SEC … more