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Experience with TRF/ORF (listed and OTC Equity Reporting), Equity Trading (Listed and OTC Equities), Regulatory Option Trading Reporting, and Trace Reporting (Corporate/Agency Debt Products/Securitized Products, Treasury Products.
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The firm operates like a private equity firm, offering a wide array of resources to their portfolio companies - above and beyond traditional lenders - and underwriting more efficiently and rapidly.
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Familiarity with additional regulatory areas also desirable, including Investment Advisors Act, CFTC Rules, Dodd Frank, and data security/protection. Draft commercial agreements for Marquee services, negotiate directly with clients (e.g., hedge funds and asset managers) on service terms, and advise the business on key issues such as intellectual property, liability and U.S. and cross-border regulatory implications, including MiFID II and Investment Advisors Act of 1940.
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Experience selling one or more of the following: Analytics, Back Office Solutions, Data Governance, Data Management, Data Warehouse, EOD Reporting, Front Office Solutions, Managed Services, Middle Office Solutions, Order Management (OMS), Portfolio Management (PMS), Reconciliation, Regulatory Solution, Reporting, Trade Management, Treasury.
$80,000 - $100,000 a yearFull-timeExpandApply NowActive JobUpdated 25 days ago - UpvoteDownvoteShare Job
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Ensure the accuracy and efficiency of month end processes related to interest rate risk reporting and soundness with respect to internal, external, and regulatory measures of equity and earnings at risk.
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Immigration Attorney needed for a Growing Law Firm! Today, we are a thriving, full-service personal injury and immigration law firm, bringing a history of having helped more than 100,000 individual clients to a broadening array of legal services available to both individuals and corporate clients.
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The LPN will coordinate all medical/psychiatric care and medications for residents ensuring proper documentation, follow-up and regulatory compliance. Oversee coordination of all medication administration including verifying prescriptions, ordering medications, regulatory documentation, and staff administration of medications in conjunction with RN and under supervision of RN.
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We are vertically integrated globally with inhouse marketing, branding, product development/formulation, packaging design/engineering and regulatory. This role reports to the Strategic Sourcing Director - Contract Manufacturing.
$85,000 - $110,000 a yearExpandApply NowActive JobUpdated 7 days ago - UpvoteDownvoteShare Job
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Review grants and advise program staff globally on legal and reputational issues relating to U.S. and international grant making, including tax, regulatory, and OFAC compliance. JD, New York license, and a minimum of 6 years of experience working at a foundation, non-profit organization, or representing tax-exempt organizations at a law firm.
$209,000 a yearFull-timeExpandApply NowActive JobUpdated 3 days ago - UpvoteDownvoteShare Job
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Responsible for establishing a process to routinely monitor compliance with all regulatory agencies including (CAP, DOH, OSHA, EPA, FDNY, and Joint Commission), through assessments and audits. Oversees the regulatory compliance for Anatomic Pathology laboratories at NYU Langone Health.
$73,770.8 - $122,951.34 a yearFull-timeExpandApply NowActive JobUpdated 3 months ago - UpvoteDownvoteShare Job
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1 year experience or an internship with a lighting design, architectural/engineering, or engineering consulting firm that produced architectural lighting documentation. SketchUp, 3DS Max, Adobe Photoshop, Adobe InDesign, Rhino, Grasshopper, DIVA, iRay.
$62,475 - $89,250 a yearFull-timeExpandApply NowActive JobUpdated 3 months ago - UpvoteDownvoteShare Job
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Ensure regulatory compliance is met per NYS DHS, NYS OTDA, NYC FDNY, NYC Dept. of Health, NYC Coalition for the Homeless, etc, is adhered to. Ensure regulatory compliance is met per NYS DHS, NYS OTDA, NYC FDNY, NYC Dept. of Health, NYC Coalition for the Homeless, etc, is adhered to.
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5+ years of structuring or trading experience of asset-based securities at a broker dealer or investment firm. Arena Investors, LP is a global investment management firm that seeks to generate attractive risk adjusted, consistent and uncorrelated returns by employing a fundamentals based, asset-oriented financing and investing strategy across the entire credit spectrum in areas where conventional sources of capital are scarce.
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2+ years of fundamental or quantitative research or quantitative portfolio construction experience at an RIA, broker-dealer, or financial services firm. 2+ years of fundamental or quantitative research or quantitative portfolio construction experience at an RIA, broker-dealer, or financial services firm.
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Within RISK Corporate, the RISK Corporate Senior Credit Officer (SCO) guarantees, for the portfolio which she/he follows, the independent assessment of the credit risks as well as of the CSR ones throughout the credit process and until the maturity of the credit, in compliance with regulatory requirements and internal guidelines.
$165,000 - $248,000 a yearFull-timeExpandApply NowActive JobUpdated 2 months ago
firm regulatory jobs Company: Pwc in New York, NY
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