- Synchrony (New York, NY)
- … Regulatory Reporting and Initiatives will be responsible for leading deposit regulatory and SEC reporting matters. This role will manage and prepare ... support for quarterly and annual regulatory and SEC reporting for all deposit...team meetings, training and culture events. **Essential Responsibilities:** + Product owner who manages all aspects of the FDIC… more
- JPMorgan Chase (New York, NY)
- …wealth planning, philanthropy, credit and banking. As a Marketing Supervisory Manager within Asset & Wealth Management, you will provide informed, meaningful ... and constructive guidance on regulatory matters in the review and approval of marketing,...Legal teams in order to help ensure adherence to SEC , FINRA and firm regulations and guidelines + Attend… more
- 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
- 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
- Bank of America (New York, NY)
- …respect to on-boarding of new CLO managers + Present directly to US regulators (eg SEC ) as part of regular routines and regulatory exams + Provide updates to ... Global Markets Risk Sr Manager New York, New York **Job Description:** At...applicable market related risk management functions within a specific product area. Key responsibilities include monitoring and adhering to… more
- Scotiabank (New York, NY)
- Senior Manager , Scotia Capital (USA) Inc. Controller **Requisition ID:** 214216 **Salary Range:** 117,400.00 - 224,700.00 _Please note that the Salary Range shown is ... rules engine implementations. + Responsible for preparing key Broker Dealer regulatory reports, including the FOCUS report, FINRA Supplemental Reporting, FR Y-15,… more
- SMBC (New York, NY)
- …and Hong Kong. SMBC CM is an established derivatives dealer with a broad product portfolio focused on interest rates and foreign exchange products such as rates & ... traded products. SMBC Nikko Securities America, Inc. (Nikko US) is an SEC -registered securities broker-dealer and member of the Financial Industry Regulatory … 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
- 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
- City National Bank (New York, NY)
- …(ie, Fund Administrators, Transfer Agents, etc.) and Fund Counsel on all regulatory , legal, compliance, and product development matters. Develop strategies and ... and compliance framework. This position functions as a team manager , develops staff and manages deployment of resources. *What...relevant to the firm including but not limited to, regulatory provisions (eg, FINRA, SEC , OCC, CCPA,… 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
- Capco, a Wipro Company (New York, NY)
- …domain. The Capital Markets team delivers expert consulting skills along with deep product and functional knowledge across all areas of the front office, operations, ... spans across launching new lines of business, coordinating high-impact regulatory response programs, leading complex integration projects, and analyzing the… more
- Merck (Rahway, NJ)
- …retaining diverse talent. + Extensive knowledge of and hands-on work in applying regulatory guidance and quality standards related to product release and safety. ... Scientists to deliver analytical solutions that enable and accelerate process and product development and manufacturing and ensure safety and quality of our… more
- M&T Bank (New York, NY)
- …and possibly international regulator relationships and examinations including the Federal Reserve, OCC, SEC , DOL, FINRA, CFPB, State of New York, and/or the State of ... must comply and an awareness of issues of recent regulatory focus. + Develop and/or deliver training to support...risks. + Assess compliance issues presented through complex new/revised product and service offerings and work closely with senior… 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
- Morgan Stanley (New York, NY)
- …New York_ Monitor day to day risk controls related to the franchise, regulatory and operations of the Research business unit. Design, align, implement and improve ... resolution and incident reporting. Manage risk in real time through product and transaction expertise, independent committee review, challenge and governance.… 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