- Amalgamated Bank (New York, NY)
- The Head of Financial Reporting works under the guidance of and assists the Chief Accounting Officer in preparing and reporting financial statements ... principles of accounting and regulatory requirements. The role is directly responsible for managing the preparation of our regulatory and SEC filings, including… more
- SMBC (New York, NY)
- …largest global financial institutions. Based in New York City, we are an SEC registered Broker dealer that provides financial products and services to global ... + Oversight of approximately 30 staff responsible for middle office, settlement and reporting for the Nikko Treasury business. The team will be split across New… more
- CIBC (New York, NY)
- …Derivatives businesses; (2) taking reasonable steps to ensure compliance with all SEC , FINRA, and all other relevant SRO (eg Cboe) regulatory rule requirements ... Markets business, which includes liaising with external regulators (eg FINRA, SEC , Federal Reserve), internal infrastructure support and front office personnel, in… more
- Citigroup (New York, NY)
- …Expenses, Net Income and Balance Sheet reporting for Equites including 10Q/10K SEC reporting and related disclosures. + Ensuring daily reporting of ... ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency, as well as… more
- Principal Financial Group (New York, NY)
- …senior and high-yield debt origination capabilities within the Infrastructure Debt platform. Reporting directly to the Head of Originations and Structuring, ... bespoke investment opportunities based on strategic fit and financial return. Developing and managing a focused senior debt and high yield origination effort that is… more
- Bank of America (New York, NY)
- …extensive industry experience, and strong analytical, communication and management skills. Position reporting to the Head of Equity Business Controls. This ... Compliance and other control partners to develop strategies, tools and reporting capabilities to strengthen current processes associated with supervision and… more
- SMBC (White Plains, NY)
- …and frameworks including (but not limited to): RCSA, KPI/KRI development and reporting , and Issues Management. + Significant experience managing complex and ... guidance impacting the TPRM program including OCC, FBR, FDIC, SEC , FFIEC, FINRA; in addition to other US regulators...Experts (SMEs), Third Party Business Representatives (TPBR's), and the head of Third Party Management Operations team. + Support… more