- Broadridge Financial Solutions (Newark, NJ)
- …along the way, come join the Broadridge team. We are seeking a Product Manager to lead multiple products within the SEC regulatory disclosure space ... the Pega-based workflow application. + Assist with Transform, our SEC filing software, as well as XPP, our document...and Qualifications: + 10+ years of experience as a Product Manager , with preferred expertise in capital… more
- 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
- Capital One (New York, NY)
- …and updated financial industry laws and regulatory requirements (eg, FINRA, SEC ). The Compliance Advisor Senior Manager works within the Compliance ... of America, New York, New York Compliance Advisor Senior Manager The Compliance Advisor Senior Manager will...product or process development, change in law or regulatory environment) + Provide effective challenge and guidance on… more
- Nuveen Investments (New York, NY)
- …+ Works with compliance department to ensure materials meet FINRA and/or SEC regulatory guidelines and supports compliance process from initial submission ... **VP of Public Product Positioning for Municipals** The VP of Public...other non-annual incentive plans). **Company Overview** Nuveen, the investment manager of TIAA, offers a comprehensive range of outcome-focused… 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)
- …Bring** + A minimum of 5 years of financial services compliance or securities/banking regulatory experience. + Knowledge of securities laws, SEC and FINRA rules ... Senior Manager , Conduct Compliance Officer **Requisition ID:** 210173 **Salary...conduct-related deficiencies. + Provide support to consequence management and regulatory self-reporting governance processes, including preparation of minutes and… 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
- 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
- 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
- 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
- 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
- Morgan Stanley (New York, NY)
- …support to Morgan Stanley's Investment Management segment (MSIM) a leading global asset manager across the public and private markets. Members of the IM Finance team ... in New York City. Primary Responsibilities / Experience > Work with the product controllers to record financial results. > Support management and the business in… more