- 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
- 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
- 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
- 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
- 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
- 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