- SMBC (New York, NY)
- … interactions and exam management for US regulators. Role Description The Regulatory Officer , Associate works with the Regulatory Relations ... a competitive portfolio of benefits to its employees. **Role Description** The Regulatory Relations and Public Policy Group ("RRPP") is dedicated to managing… more
- ADP (Florham Park, NJ)
- …compliance department. This position ensures accurate and timely processing of associate regulatory filings, management of registration data, and coordination ... with internal teams, external vendors, and regulatory authorities to maintain compliance with FINRA...by associates. + Obtain approval from the Chief Compliance Officer for associate financial accounts and notify… more