- 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)
- …experience as a Data Analyst . + Strong knowledge of SEC Compliance Regulatory Reporting processes, including Large Shareholder Disclosure, 13G, 13F2 SHO, ... perks. We are seeking an experienced Senior Data Analyst with a strong background in SEC Compliance Regulatory Reporting and US Filing processes. The… 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
- Raymond James Financial, Inc. (New York, NY)
- …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
- American Express (New York, NY)
- …**How will you make an impact in this role?** The Senior Financial Analyst of Asset-backed Securitization ("ABS") is a key position within Global Treasury ... is responsible for the accounting, cash management, controls, and SEC & Trust Investor reporting requirements to help support...reporting, and analysis for the ABS Trusts. The ABS Analyst will be responsible for the key deliverables for… 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
- 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
- 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
- JPMorgan Chase (Brooklyn, NY)
- …and P&A, Investor Relations, and SEC Reporting. As a Credit Risk Controller & Analyst in the Credit Risk Controller & Analytics team, you will be at the heart of ... to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan...Finance sectors. This is your chance to challenge the data and narrate the story behind it. Join our… more
- CAI (Trenton, NJ)
- …desired, but not required + Security certifications such as CompTIA Security+ ( Sec +), Cybersecurity Analyst (CYSA+), or other security related certifications are ... accreditation activities on IT systems and applications including security and compliance audits, risk assessments, security plans, and performing system tests and… more
