- 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 ... information to ensure compliance with US regulatory requirements. This role involves supporting...oral, and written communication skills + Understanding of FINRA, SEC , and state registration/licensing requirements + Excellent computer skills… more
- HTC Global Services Inc (Iselin, NJ)
- …& Long Term Disability Insurance, and a variety of other perks. We are seeking an experienced SEC Compliance Data Analyst with a strong background in ... of 8+ years of experience as a Data Analyst . + Strong knowledge of SEC Compliance Regulatory Reporting processes, including Large Shareholder Disclosure,… more
- Guardian Life (Trenton, NJ)
- …to be part of a collaborative Compliance Legal Team? As a Senior Compliance Analyst , Park Avenue Securities, and Park Avenue Investment Advisory, you will ... FINRA Rule 3110 and, in certain circumstances, various state insurance laws. The Lead Compliance Analyst is responsible for developing a risk-based plan for the… more
- Guardian Life (New York, NY)
- …purpose, priorities, and values. Do you want to be part of a collaborative Compliance Legal Team? The Compliance Analyst , Park Avenue Securities (PAS), ... skills with comfort making presentations in various settings. **Reporting Relationships** As our Compliance Analyst , you will report to the Compliance … more
- HTC Global Services Inc (Iselin, NJ)
- Overview HTC Global Services is seeking a Data Analyst - Asset Management to strengthen our client's investment operations through advanced data analytics ... trading, and operations systems using Snowflake and SQL. + Build and optimize data pipelines and ETL processes to support investment analytics, risk reporting, and … more
- Raymond James Financial, Inc. (Trenton, NJ)
- …support our compliance operations and ensure accurate trade and account data submissions. **_A fully remote option may be considered for candidates with ... corporate home office locations: Memphis, TN or Southfield, MI. The Regulatory Operations Analyst ( _CAT/CAIS Reporting Analyst_ ) plays a key role in supporting the… more
- Mizuho Corporate Bank (New York, NY)
- Join Mizuho as an IT Business Analyst , Compliance Systems! In this role you will bridge business needs and IT solutions within the compliance field. This ... and reduce manual work. Additionally, you will monitor and mitigate risks in compliance technology projects, ensuring data integrity and security. The ideal… more
- Marex (New York, NY)
- …in back-office systems. + Participate in projects and maintenance of client static data in order to improve efficiencies and Compliance reporting. + Ensuring ... compliance with the company's regulatory requirements under the SEC , FINRA, NFA, CFTC and other applicable regulatory bodies. + Adhere to the operational risk… more
- NBC Universal (New York, NY)
- …subject to the satisfaction of customary conditions. Position Summary: The Analyst , Financial Wellbeing and Retirement is responsible for supporting the strategic ... company's retirement and financial wellbeing programs. This role ensures plan compliance , drives employee engagement, and delivers insights that enhance the… more
- Marex (New York, NY)
- …+ Ensuring compliance with the company's regulatory requirements under the SEC , FINRA, NFA, CFTC and other applicable exchanges. + Adhere to the operational ... for all front office and post-trade applications including trade capture, market data , settlement and clearing systems and their associated client applications, as… more
- Marex (New York, NY)
- …+ Ensuring compliance with the company's regulatory requirements under the SEC , FINRA, NFA, CFTC and other applicable exchanges. + Adhere to the operational ... of Role: Marex is seeking a Fixed Income Operations Analyst who will support the Credit, Rates, MBS, Repo,...order-flow management via screen, voice and DMA, plus award-winning data , insights and analytics. The Marex Ops team is… more
- TD Bank (New York, NY)
- …process inefficiencies, and opportunities for process enhancement. + Partner with Surveillance Data Quants and Compliance Technology teams to refine the tooling ... New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $150,000 - $185,000 USD TD is committed to providing fair… more
- TD Bank (New York, NY)
- …Specifically, the incumbent will work with TDS Chief Data Officer (CDO), Data and Delivery Initiatives (DDI) team, Compliance Technology, First-Line Risk and ... sources (eg, order management systems, execution platforms, and market data feeds). + Regulatory Compliance & Risk...TDS meet regulatory requirements as it related to surveillance data (eg, SEC , CFTC, NFA, FINRA, FCA,… more
- Citigroup (New York, NY)
- …delivery teams, working closely with technology, operations, trading desks, risk, compliance , and legal. + Translate complex business needs into detailed ... requirements, user stories, and acceptance criteria, acting as a Business Analyst across multiple workstreams. + Lead end-to-end project delivery, including scoping,… more
