- Scotiabank (New York, NY)
- Manager , Investment Management Compliance **Requisition ID:** 214677 **Salary Range:** 90,000.00 - 167,200.00 _Please note that the Salary Range shown is a guideline ... Bank relationships, systems, and knowledge. + Assists the Senior Manager , Compliance within Scotiabank's Asset Management division in carrying...states in which we are notice filed with the SEC . + Assist with the setup of new monitoring… more
- Scotiabank (New York, NY)
- Senior Manager , Markets Compliance Officer **Requisition ID:** 204138 **Salary Range:** 110,700.00 - 211,800.00 _Please note that the Salary Range shown is a ... management and US Compliance personnel on relevant compliance issues, the regulatory environment, and Compliance Department initiatives by actively participating in… more
- Bank of America (Jersey City, NJ)
- …methodologies * Knowledge of structured business analysis (eg, 6 Sigma) techniques. * Product Knowledge: global markets products SEC Lending and REPO product ... Project Manager Jersey City, New Jersey **Job Description:** At...that impact how the bank does business, provides a product or service, or executes a function. Key responsibilities… more
- Mastercard (Harrison, NY)
- …businesses and governments realize their greatest potential._ **Title and Summary** Manager , Corporate Treasury Overview: Corporate Treasury is hiring a manager ... recommendations, executing the approved strategy, and completing managerial and regulatory reporting * Manage relationships with FX trading counterparties and… more
- Guardian Life (New York, NY)
- …but are not limited to fund accounting and reporting related to SEC /shareholder/ regulatory reporting matters. Monitor staff's responsibilities such as daily ... Funds' compliance policies and procedures to ensure adherence to regulatory bodies; work closely with Guardian's partners in the...at least 5 in a leadership role; Mutual Fund Manager experience preferred. + Familiarity with SEC … more
- Marex (New York, NY)
- …all areas that are impacted by change. + Ensuring compliance with the company's regulatory requirements under the SEC , FINRA, NFA, CFTC and other applicable ... visit www.marex.com (http://www.marex.com/) (http://www.marex.com/) Purpose of Role: The Implementation Manager drives successful implementation of Technology change projects. The… more
- US Bank (Hackensack, NJ)
- …duties include maximizing client retention and expanding US Bancorp Fund Services' product development and services. Monitor client asset levels and propose fee ... Prepare and complete transfer agent audit request and information for SEC Exams. Review and approve shareholder statements, shareholder applications, regulatory… more
- TD Bank (New York, NY)
- …across trade and communications. Ensure the surveillance department aligns with global regulatory requirements (eg, SEC , FINRA, CFTC, NFA, FCA, MAS, etc.) ... that alert review processes align with firm requirements and global regulatory expectations. Key Responsibilities: * Evaluate and Enhance the Surveillance QA… more
- Neuberger Berman (New York, NY)
- …board materials, marketing presentations, and other reporting + Monitoring compliance with the SEC and IRS regulatory tests in coordination with legal and tax ... to both accredited and non-accredited investors, marking the first product of its kind in the NB Private Markets...role will report to the SVP and manage the SEC reporting and filings to ensure compliance, and will… more
- BMO Financial Group (New York, NY)
- …** **KNOWLEDGE, SKILLS & REQUIREMENTS:** + 5 - 8 years of compliance, regulatory , or structured product /fixed income-related experience. + Fixed Income ... and sustain its risk-based compliance with applicable laws and regulatory requirements. CMS tests that the First Line of...and Banking Regulations, which include but not limited to SEC , FINRA, FRB, NFA and CFTC. + Demonstrated analytical,… more
- SMBC (New York, NY)
- …+ Escalates regulatory concerns and other significant matters to their manager and ongoing support as necessary for matters requiring escalation. + Interfaces ... to its employees. **Role Description** The Advisory Compliance team serves as a regulatory advisory function and is responsible for overseeing the management of the… more
- BMO Financial Group (New York, NY)
- …and other procedural documents. **Experience:** + 2-5 years of compliance or regulatory experience. + Fixed Income product knowledge and understanding of ... to achieve and sustain its risk-based compliance with applicable laws and regulatory requirements, and to ensure that the First Line of Defense responsibilities… more
- Neuberger Berman (New York, NY)
- …or a similar industry. + Familiarity with investment products, financial markets, and regulatory requirements (eg, FINRA, SEC , etc) in asset management. + Proven ... in-house marketing team supporting our investment content, branded content, and product marketing efforts. In this role, you will craft compelling, audience-focused… more
- TD Bank (New York, NY)
- …management business (including, but not limited to, distribution, supervision, product , operations, legal, compliance, technology) in designing and implementing ... the procedural framework necessary to efficiently operate the business within regulatory requirements. Additionally, they hire, lead, and manage teams that support… more
- TD Bank (New York, NY)
- …for analyzing and scoping the impact of new and complex regulatory and compliance developments across senior function/business/ product , including cross-border ... US, Europe and Asia Pacific. + Monitor and identify regulatory developments, including enforcement actions, and new laws, regulations,...the ability to assess firm impact. Specifically, FED, FINRA, SEC , CFTC, NYSE, and OCC. + Excellent oral and… more
- BMO Financial Group (New York, NY)
- …with specific product information. + Responds to inquiries from clients, regulatory agencies, or members of the business community in a professional manner and ... accuracy and that transactions conform to the regulations of SEC , NASD, and other regulatory agencies. +...customers reach theirs. From in-depth training and coaching, to manager support and network-building opportunities, we'll help you gain… more
- Truist (New York, NY)
- …platforms such as SQL Server, Oracle, SnowFlake. + Experience supporting Capital Markets Regulatory Environment - ( SEC , FINRA, CFTC, NFA, FED) + Ability to ... integration activities for all project work. Consult and partner with the business product owners to understand the end goal and offer solutions and recommendations… more
- Tradeweb (New York, NY)
- …date on automation trends. + Act as financial ICD subject matter expert for regulatory , tax, and SEC compliance. **Qualifications** + 10-15 years of experience ... part of the team connecting the FP&A and Business manager functions, supporting the Head of ICD and ICD...challenge of having wide exposure to and blending finance, product and strategy. You will be comfortable solving open-ended… more
- Siebert Williams Shank (New York, NY)
- …are supported by a robust secondary sales and trading platform, and a sound regulatory capital base. We are a SEC -registered securities broker-dealer and member ... and Oakland. SWS is a perennial leader as a co- manager of investment-grade corporate debt, a national leader in...of the Financial Industry Regulatory Authority (FINRA) and the Municipal Securities Rulemaking Board… more
- JPMorgan Chase (New York, NY)
- …of the Comptroller of the Currency (OCC), Securities and Exchange Commission ( SEC ), and Financial Industry Regulatory Authority (FINRA) financial regulations, ... strategy exposures. We value your strong risk management background and in-depth product knowledge across multiple asset classes. You will work closely with other… more