- Citigroup (Queens, NY)
- …throughout Citi, including the Businesses (eg, Markets), Risk, Treasury, Capital Controllers, SEC Reporting , Financial Planning & Analysis, as well as Enterprise ... level (MD) position within the Controllers Organization that will report to the Global Head of Regulatory and Capital Reporting . The individual will serve as an… more
- TD Bank (New York, NY)
- …Conduct First Line surveillance and business conduct reviews. + Compile management reporting on trade capture metrics, regulatory scorecards, policy exceptions ... other ad hoc reporting as required. + Assess implications of Firm policy , regulatory, new business, or best practice changes to the supervision framework. +… 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 ... strengthening the control environment at Citi through standardisation of controls, reporting and analysis across all locations. Candidates should possess strong… more
- Morgan Stanley (New York, NY)
- …Region informed of significant matters and is a non-revenue sharing position that has dual reporting to the Head of the Centralized Review Unit (CRU) and the ... required for role or by management Strong knowledge of SEC , FINRA Rules and Regs including Investment and Product...the first choice for prospective employees. It is the policy of the Firm to ensure equal employment opportunity… more