- TD Bank (New York, NY)
- …more specifically those focused on Electronic Trading automated (pre-trade) controls to address regulatory and best practice requirements (eg SEC Rule 15c3-5, NI ... this role. **Job Description:** **Short Term Assignment - 12 Month Duration** Regulatory and Supervisory Management (RSM) drives a strong culture of supervision and… more
- BlackRock (New York, NY)
- **About this role** **Associate, Global Product Solutions ETF Regulatory Marketing Review** **Location: New York or Boston** **About this role** Elevate your ... career by joining the world's largest asset manager ! At BlackRock, we are all connected by one...marketing and communications. The Associate will work closely with product , marketing and compliance groups and FINRA staff to… more
- RELX INC (New York, NY)
- …the market leader in disclosure research and workflow tools, is seeking a Senior Product Manager II to lead our Accounting & Disclosure Solutions portfolio. In ... into a product management role or experience already operating as a product manager in accounting, fintech, or enterprise SaaS. + Prior product… more
- Citigroup (New York, NY)
- …for our clients and advance the overall Client Financing offering. The Product manager also stays abreast of industry and regulatory trends to help shape ... and industry trends, enhancing business profitability, and strengthening risk and controls and regulatory compliance. The product manager will help scope and… more
- TD Bank (New York, NY)
- …on regulatory requirements and assisting business units to manage their regulatory risk. The Surveillance Quality Assurance Manager will work with the ... across trade and communications. + Ensure the surveillance department aligns with global regulatory requirements (eg, SEC , FINRA, CFTC, NFA, FCA, MAS, etc.) and… more
- BlackRock (Boston, MA)
- …ETF Fund Accounting a plus + Understanding of US GAAP and SEC regulatory reporting requirements. + Fund / product lifecycle event management such as ... reporting guidance. + Portfolio trade compliance monitoring and adherence to product and regulatory guidelines and policies. Americas (AMRS) Product… more
- Broadridge Financial Solutions (Newark, NJ)
- …while helping others along the way, come join the Broadridge team. The Client Product Manager Securities Lending serves as the key link between clients, internal ... delivery operations within our securities finance technology platform. Reporting to the Product Manager , this role ensures exceptional client satisfaction by… more
- Citizens (Johnston, RI)
- …an annual and or ad hoc targeted risk and control self-assessment on a product and service inventory. Regulatory Knowledge: Familiarity with SR 11-7 and OCC ... Description As a Senior Risk Manager in the First Line of Defense, you...is delivered safely, to scale, and in alignment with regulatory expectations. You'll lead complex risk assessments, develop control… more
- Janus Henderson Investors (New York, NY)
- …your own, we would love to hear from you! Your opportunity The Fund Operations Manager serves as the primary point of contact and dedicated liaison for many of the ... access (eg, rate and/or equity futures and options) + SEC filings + Establishing all necessary cash accounts (some...or hedge fund space. + Extensive knowledge of relevant sector/ product /instruments for the role + Ability to understand data… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …implement product -related continuing education and training programs. + Researches regulatory changes and emerging risks to identify linkages, report trends and ... and/or banking compliance. + Rules and regulations of: Securities Exchange Commission ( SEC ); Financial Industry Regulatory Authority (FINRA); state securities … more