• Controller - Specialty Finance

    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 (08/08/25)
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  • Managing Director, US Broker Dealer CCO

    BMO Financial Group (New York, NY)
    …ability to monitor regulatory compliance programs. + Advises and influences senior leaders on managing regulatory risk associated related to business decisions ... preferred + Experience with a regulatory agency strongly preferred, including FINRA, SEC , NYSE + Knowledge of FICC, equities, prime brokerage, and investment banking… more
    BMO Financial Group (10/15/25)
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  • Applications Team Lead

    GovCIO (Albany, NY)
    …in Radford, VA and will be a remote position. **Responsibilities** Senior Application Project management experience utilizing agile development best practices. Under ... + Clearance Required: Secret + 3+ years' experience with Dev/ Sec /Ops development strategies. + 3+ years' experience with Agile...Virtual video interview conducted via video with the hiring manager and/or team + Camera must be on +… more
    GovCIO (09/24/25)
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  • Vice President, US Markets Equities Compliance…

    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
    TD Bank (08/09/25)
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  • Assistant Controller - Secondaries

    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 $538 billion… more
    Neuberger Berman (08/09/25)
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