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SEC Reporting and Corporate Governance * Advising clients on day-to-day governance matters, including compliance with SEC and stock exchange regulations. * Representing issuers and underwriters in ...

Inviting applications for the role of Business Analyst, Regulatory Reporting CTB Looking for ... SFTR, EMIR, MIFID II, CFTC, SEC, ASIC, HKMA) * Familiarity with Agile (Scrum, TDD, FDD etc ...

Position can sit in NYC or Stamford, CT. 30B+ SEC RIA seeks a Senior Compliance Officer to join their growing team! Position will report directly to the DCCO and CCO, and also oversee 2 junior team ...

Prepare reporting related to the Monitoring, and Training programs * Perform quality assurance ... Knowledge of compliance rules and regulations (FED, OCC, NYDFS, SEC, FINRA) * Experience reading ...

SEC and CFTC registrations, ERISA, and federal, state and international securities laws (including ... S. and foreign regulatory reports and filings (e.g., Form ADV, Form PF, Reg D, Treasury and BEA ...

Compile and produce associated management reporting on applicable regulatory changes. Basic ... Knowledge of compliance rules and regulations (such as FED, NYDFS, SEC, CFTC, FINRA

... SEC and other relevant regulations. * Regulatory Reporting: Prepare and maintain comprehensive documentation for board reporting, internal audits and regulatory submissions related to fund ...

Support the internal compliance testing and surveillance program, as well as prepare regulatory reports and testing documentation. * Acquire a comprehensive understanding of the SEC Marketing Rule ...

ING is looking to streamline the application set, data sources and reporting into consolidated ... FINRA, SEC, NFA * [Preferred] having a good understanding of global systems such as ledger, data ...

Initiate monthly tracking and reporting associated with operations processes for COO and MPs to ... Specifically, the Fund will be registering with the SEC in early 2025 and this role will play a ...

Function as the Backup for IT Sec Engineering Manager; * Support IT Security and cybersecurity Awareness campaigns. Management and Reporting Reports to the IT Security Engineering Manager Key ...

... Units each reporting to the General Counsel-Americas, as follows: (1) Capital Markets; (2) ... S. capital markets regulations, including those issued by the SEC and CFTC, securities and ...

Capturing and reporting on client escalations, key interactions, and vendor adoptions across your ... Not Applicable SEC Security-Based Swap Dealer Associated Person: * Not Applicable The expected ...

... reporting, examinations and communications, training and inducting staff, managing exchange ... SEC-registered dealers. * You must be a self-starter and have strong prioritization skills

The position will report directly into the CIO office. The successful candidate will work with ... Strong understanding of financial regulatory requirements, including FFIEC, SEC, and NFA ...

... Reporting Candidate Success Factors: Candidates are measured on the following four performance ... Not Applicable SEC Security-Based Swap Dealer Associated Person: * Not Applicable The expected ...