- RELX INC (New York, NY)
- …and the market leader in disclosure research and workflow tools, is seeking a Senior Product Manager II to lead our Accounting & Disclosure Solutions portfolio. ... Team Intelligize is the leading provider of analytical tools for SEC compliance (external reporting) and transactional (IPOs, M&A) professionals. Intelligize offers… more
- Scotiabank (New York, NY)
- Compliance Testing Senior Manager , Swap Dealer and Derivatives Compliance **Requisition ID:** 220508 **Salary Range:** 117,400.00 - 224,700.00 _Please note that ... to support compliance testing for Scotiabank's compliance of CFTC Swap Dealer, SEC Security Based Swap Dealer and Futures related regulations, including cross-border… more
- OTC Markets Group Inc (New York, NY)
- OTC Markets Group Inc VP, Senior Investor Relations Success Manager -...Link ECN and OTC Link NQB are each an SEC regulated ATS, operated by OTC Link LLC, a ... of premier US financial marketplaces, is seeking a VP, Senior Investor Relations Success Manager to join...FINRA and SEC registered broker-dealer, member SIPC. Applicants have rights under… more
- BMO Financial Group (New York, NY)
- Our ideal candidate has a SEC /FINRA examiner background with broker dealer experience including SEC 15c3 experience, possessing a strong understanding of broker ... dealer operations and SEC /FINRA regulations. If you have dealt with trading intricacies...customers reach theirs. From in-depth training and coaching, to manager support and network-building opportunities, we'll help you gain… more
- Deloitte (New York, NY)
- Senior Manager - FSI Risk, Regulatory & Forensic...FRB, the CFPB, the OCC, the CFTC, FINRA, and the SEC The wage range for this role takes into account ... seeking out new skills and perspectives and exhibiting openness to coaching from senior colleagues and reviewing the work of and contributing to the development of… more
- Evolent (Albany, NY)
- …**Job Summary** We are seeking a highly motivated **AI/Data Science Product Manager ** to lead and manage AI initiatives across our organization. This individual ... we'd love to hear from you! **To comply with HIPAA security standards (45 CFR sec . 164.308 (a) (3)), identity verification may be required as part of the application… more
- TD Bank (New York, NY)
- …candidate would have previous compliance experience, preferably in an advisory capacity. The Senior Manager will provide support to the overall Markets Advisory ... more specific details for this role. **Job Description:** The Senior Compliance Officer provides advice, guidance and support to...with the ability to assess firm impact. Specifically, FINRA, SEC , CFTC, NYSE, FED and OCC. + Excellent oral… more
- NBC Universal (New York, NY)
- …The spin-off is expected to be completed during 2025. The corporate governance manager will support all corporate governance and board of director matters for ... The role provides the unique opportunity to work with senior leaders of Versant legal and leadership teams, as...of a newly formed Media company. The corporate governance manager will be responsible for providing support for all… more
- TD Bank (New York, NY)
- …this role. **Job Description:** The TD Securities Compliance team is seeking a Senior Compliance Officer to join the Surveillance Data Quality Team. The team ... reputation of Compliance's good governance depends on us. The Senior Compliance Office provides advice, guidance and support to...regulatory requirements as it relates to surveillance data (eg, SEC , CFTC, NFA, FINRA, FCA, CIRO, etc.) and aligns… more
- Citigroup (Getzville, NY)
- …in New York City, Buffalo, Delaware and Tampa and reports (through the broader Group manager ) to the Controller of Citigroup. The SEC Group is responsible for ... This position is part of Citi's SEC Filings Team which is composed of accounting...reporting, Citi's Accounting Policy Manual Reporting, and analysis for Senior Management and Citi's Board of Directors. In addition… more