| Resume alert | Resumes 21 - 30 of 1448 |
Project Management Regulatory Compliance
Edison, NJ
... Experience also includes US Broker-Dealer obligations, WSP, 3120, 3110, 2111, 144 A, QIBs, SEC Acts '33 and '34. Experience with Investment Company Act and Investment Advisers Act of 1940 advising on compliance and legal obligations of funds and ... - Mar 09
... Experience also includes US Broker-Dealer obligations, WSP, 3120, 3110, 2111, 144 A, QIBs, SEC Acts '33 and '34. Experience with Investment Company Act and Investment Advisers Act of 1940 advising on compliance and legal obligations of funds and ... - Mar 09
Vice President Compliance Consultant
Newark, NJ
... 2023 Vice President – Trade Surveillance (Compliance) Reviewing proprietary trading reports generated through the firm’s order management system (OMS) for potential violations of SEC and FINRA rules and regulations, such as spoofing, layering, ... - Mar 08
... 2023 Vice President – Trade Surveillance (Compliance) Reviewing proprietary trading reports generated through the firm’s order management system (OMS) for potential violations of SEC and FINRA rules and regulations, such as spoofing, layering, ... - Mar 08
Program Manager Financial Services
Port Washington, NY
... replaced legacy hardware and applications with best-of-breed solutions (supported in a hybrid cloud architecture solution) to meet SEC-regulated policies and regulations, Network Security Services, Corporate Applications, and Software Asset ... - Mar 06
... replaced legacy hardware and applications with best-of-breed solutions (supported in a hybrid cloud architecture solution) to meet SEC-regulated policies and regulations, Network Security Services, Corporate Applications, and Software Asset ... - Mar 06
Project Manager Video Production
New York, NY
... EDUCATION PERSCHOLAS INSTITUTE FOR TECHNOLOGY IT CERTIFICATIONS - APRIL 2014 A+, Net+ and Sec+ Certified BCC (CUNY) Computer Science Major (2010) BMCC (CUNY) MultiMedia Major (2000- 2001) SUNY Morrisville Liberal Arts Major (1998 – 2000) MURRY ... - Mar 04
... EDUCATION PERSCHOLAS INSTITUTE FOR TECHNOLOGY IT CERTIFICATIONS - APRIL 2014 A+, Net+ and Sec+ Certified BCC (CUNY) Computer Science Major (2010) BMCC (CUNY) MultiMedia Major (2000- 2001) SUNY Morrisville Liberal Arts Major (1998 – 2000) MURRY ... - Mar 04
Project Manager Assistant
Brooklyn, NY
... companies and performed valuation research according to financial reports, balance sheets, institutional research and SEC filings Organized and participated in due diligence, presentations, corporate communications, investor relations services ... - Mar 04
... companies and performed valuation research according to financial reports, balance sheets, institutional research and SEC filings Organized and participated in due diligence, presentations, corporate communications, investor relations services ... - Mar 04
Human Rights Legal Assistant
Brooklyn, NY
... SEC, New York, NY (temp assignment), 5/2013-8/2013 Litigation Specialist ●Followed established guidelines, gathered, prepared and summarized relevant materials for use by attorneys in preparation of opinions, briefs and other legal documents. ... - Mar 04
... SEC, New York, NY (temp assignment), 5/2013-8/2013 Litigation Specialist ●Followed established guidelines, gathered, prepared and summarized relevant materials for use by attorneys in preparation of opinions, briefs and other legal documents. ... - Mar 04
Quality Assurance Information Security
Little Falls, NJ
... • Provide control consulting and business process re-engineering and preparing for regulatory examinations (e.g., OCC, FRB, SEC.) • Lead executive and senior level consultation regarding issues or emerging trends identified from control testing and ... - Mar 03
... • Provide control consulting and business process re-engineering and preparing for regulatory examinations (e.g., OCC, FRB, SEC.) • Lead executive and senior level consultation regarding issues or emerging trends identified from control testing and ... - Mar 03
Executive Assistant Administrative
New York, NY
... Edited documents and ran redlines of agreements, M&As, joint ventures, SEC compliance, financial services regulation, business planning, strategy, retail and private companies, real estate and commercial matters. Monitored 6-line phones, sorted ... - Mar 03
... Edited documents and ran redlines of agreements, M&As, joint ventures, SEC compliance, financial services regulation, business planning, strategy, retail and private companies, real estate and commercial matters. Monitored 6-line phones, sorted ... - Mar 03
Internal Audit Control
Queens, NY
... Development Report Analysis Dodd-Frank Regulatory Compliance Public Company and Accounting (PCAOB &) Securities and Exchange (SEC) Pronouncements Risk Assessment Generally Accepted Accounting (GAAP) Leadership & Team Building Relationship Building ... - Mar 01
... Development Report Analysis Dodd-Frank Regulatory Compliance Public Company and Accounting (PCAOB &) Securities and Exchange (SEC) Pronouncements Risk Assessment Generally Accepted Accounting (GAAP) Leadership & Team Building Relationship Building ... - Mar 01
Risk Management Business Intelligence
New York, NY
... -Oversight and management of Apple Bank’s Model Risk Management program, consistent with the Bank’s risk appetite, and direct report to the Bank’s Committees, the Board of Directors, Internal Audit and Regulators on MRAs (Fed/SEC/FDIC/OCC). -RCSA ... - Feb 28
... -Oversight and management of Apple Bank’s Model Risk Management program, consistent with the Bank’s risk appetite, and direct report to the Bank’s Committees, the Board of Directors, Internal Audit and Regulators on MRAs (Fed/SEC/FDIC/OCC). -RCSA ... - Feb 28