- TD Bank (New York, NY)
- …diversified, confidential, and administrative support of an executive nature to a senior executive of a Company division, performing complex and technical activities ... files and records + Manages the office of a Senior Executive and requires comprehensive knowledge of executive operations,...data and special reports, providing analysis and summaries (eg SEC research, merger & acquisition or Proxy activity) +… more
- Siebert Williams Shank (New York, NY)
- …banking professionals who provide direct analytical and quantitative assistance to senior bankers, facilitating investment banking services for public sector clients ... and support senior bankers in business development efforts. SWS is a...and Oakland. SWS is a perennial leader as a co- manager of investment-grade corporate debt, a national leader in… more
- Citigroup (New York, NY)
- The Sec & Derivatives Sr Grp Mgr is a senior management level position responsible for accomplishing results through the management of the Global Fixed Income ... structured transactions. The Global Fixed Income and Commodities Structured Middle Office manager will oversee global teams managing these this function focused on… more
- Evolent (Albany, NY)
- …Stay for the culture. **What You'll Be Doing:** Evolent Health is looking for a Senior Product Owner to be a key member of the Product team, focused on client ... the features into product releases. + Serve as a senior product owner on an Agile development team for...with the MVP model + Works with the Product Manager to translate the roadmap features into well-defined development… more
- TD Bank (New York, NY)
- …of new and complex regulatory and compliance developments across senior function/business/product, including cross-border impact. + Participate in industry groups ... and regulations with the ability to assess firm impact. Specifically, FED, FINRA, SEC , CFTC, NYSE, and OCC. + Excellent oral and written communication skills. +… more
- TD Bank (New York, NY)
- …Ensure TDS meet regulatory requirements as it related to surveillance data (eg, SEC , CFTC, NFA, FINRA, FCA, CIRO, etc.) and aligns with internal compliance policies. ... issues, implement controls to prevent recurrence, and enhance reporting mechanisms for senior management. + Stakeholder Engagement: Serve as primary contact to Trade… more
- Neuberger Berman (New York, NY)
- …requests from senior management and portfolio managers + Assist with SEC or other regulatory compliance as required **Qualifications** : + Bachelor's or higher ... Ability to act and operate independently with minimal daily direction from manager to accomplish objectives + Proficiency with email and Microsoft Office… more
- Neuberger Berman (New York, NY)
- …investor relations to address LP inquiries + Complete various ad-hoc requests from senior management and portfolio managers + Support SEC and other regulatory ... ._ Founded in 1939, Neuberger Berman is a private, independent, employee-owned investment manager . From offices in 39 cities worldwide, the firm manages $515 billion… more
- TD Bank (New York, NY)
- …laws, rules and regulations with the ability to assess firm impact. Specifically, FINRA, SEC , Exchange Level SROs including NYSE, NASDAQ & CBOE. + Excellent oral and ... + Ability to project confidence and professionalism in dealings with senior business personnel. + Strong knowledge of technology infrastructure and global… more
- KeyBank (NY)
- …and facilitate processes as directed by the AML Enterprise Team Compliance Manager and the Team Director. **ESSENTIAL JOB FUNCTIONS** + Facilitate audit and ... Actively participate in regulatory examinations, as required. + Provide senior managers with reports and information for the purpose...AML Program + Knowledge of FFIEC Examination Manual and/or SEC AML related guidance and regulations + 5 years… more