- Raymond James Financial, Inc. (New York, NY)
- …following corporate home office locations: Memphis, TN or Southfield, MI. The Regulatory Operations Analyst ( _CAT/CAIS Reporting Analyst_ ) plays a key role in ... We are seeking a detail-oriented professional with hands-on experience in regulatory reporting , specifically with **CAT** and **CAIS** , to support our compliance… more
- Mizuho Corporate Bank (New York, NY)
- Join Mizuho as a Transaction Monitoring Functional Analyst ! In this role you will bridge business needs and IT solutions within the compliance field. This role ... BSA, Quantexa) and the supporting case management system (Hummingbird). The Functional Analyst will identify and implement technical capabilities in support of Model… more
- Cushman & Wakefield (New York, NY)
- **Job Title** Sr Executive Compensation Analyst **Job Description Summary** The Senior Executive Compensation Analyst will play a key role in supporting the ... for senior leadership. **Job Description** **Job Title: Senior Executive Compensation Analyst ** **Location:** Chicago (Hybrid) | New York (Hybrid) | Virtual… more
- Paramount (New York, NY)
- …Treasury responsibilities include: - Support FX trading and hedge programs/documentation and SEC reporting - Coordinate global cash repatriation and tax ... leave a positive mark on culture. **OVERVIEW & RESPONSIBILITIES** Reporting to the Senior Director of Capital Markets and...and the VP of International Treasury, the Sr. Financial Analyst will play a dual role supporting both domestic… more
- Guardian Life (New York, NY)
- …and verbal communication skills with comfort making presentations in various settings. ** Reporting Relationships** As our Compliance Analyst , you will report to ... part of a collaborative Compliance Legal Team? The Compliance Analyst , Park Avenue Securities (PAS), and Park Avenue Investment...Broad knowledge of the financial services industry and FINRA, SEC and State rules and regulations along with a… more
- Neuberger Berman (New York, NY)
- Neuberger Berman is looking for a Senior Registration Analyst to join our Legal and Compliance team, focusing on the day-to-day processing of registration ... updating licenses, overseeing terminations, state registrations, and related regulatory reporting . **Key Responsibilities:** + Review and complete pre-hire Workday… more
- Marex (New York, NY)
- …visit www.marex.com (http://www.marex.com/) (http://www.marex.com/) Purpose of Role: The Onboarding Analyst will facilitate the onboarding process for opening new ... of client static data in order to improve efficiencies and Compliance reporting . + Ensuring compliance with the company's regulatory requirements under the … more
- TD Bank (New York, NY)
- …strategic guidance and independent oversight of the surveillance output and analyst dispositions of alerts, and suggested enhancements to the program. Through ... Ensure TDS meet regulatory requirements as it related to surveillance data (eg, SEC , CFTC, NFA, FINRA, FCA, CIRO, etc.) and aligns with internal compliance policies.… more