- 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 ... related filings + Prepare and review internal and Board of Directors financial reporting + Responsible for identification of evolving accounting standards… more
- TD Bank (New York, NY)
- …details for this role. **Line of Business:** TD Wealth **Job Description:** The Head of National Sales, Wealth designs, implements and executes sales and net asset ... with all of TD AMCB and TD Securities. The Head of National Sales, Wealth creates and executes ongoing...Demonstrated ability to lead other Senior leaders through direct reporting and through influence + Demonstrated ability to communicate… 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 ... SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a...approximately 30 staff responsible for middle office, settlement and reporting for the Nikko Treasury business. The team will… more
- Citigroup (Queens, NY)
- …regulatory guidance. **Skills:** + Strong familiarity with Regulatory capital rules and GAAP/ SEC financial reporting . + Strong leadership and personnel ... the Controllers Organization that will report to the Global Head of Regulatory and Capital Reporting . The...including the Businesses (eg, Markets), Risk, Treasury, Capital Controllers, SEC Reporting , Financial Planning &… 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
- TD Bank (New York, NY)
- …First Line surveillance and business conduct reviews. + Compile management reporting on trade capture metrics, regulatory scorecards, policy exceptions and other ... ad hoc reporting as required. + Assess implications of Firm policy,...Committees and Vice Chair supervision meetings, as well as Co- Head directs supervisory meetings. + Execute internal control procedures… more
- CIBC (New York, NY)
- …processes in order to enhance operational efficiency and effectiveness of the regulatory reporting regime. **How You'll Succeed** + The team's primary mandate is to ... with the tracking and organization of surveillance metrics of various regulatory reporting obligations, including: CAT, TRACE, LOPR, Swap Dealer Trade Reporting … 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 ... timely manner. + Working closely with the Global business head to ensure that Finance concerns are appropriately prioritised;...Equities (including Prime) business and associated P/(L)/ PAA and Financial reporting + Strong Risk and Control… 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 ... At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. Responsible Growth is how we run… 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, ... financings. + Originate bespoke investment opportunities based on strategic fit and financial return. Developing and managing a focused senior debt and high yield… 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 ... Morgan Stanley is a leading global financial services firm providing a wide range of...required for role or by management Strong knowledge of SEC , FINRA Rules and Regs including Investment and Product… more
- TD Bank (New York, NY)
- …Business lines from a Compliance perspective today. This role reports into the Head of Fixed Income & Munis Compliance Advisory. **Responsibilities:** + Provide day ... conduct business-based analysis and execute requite implementation. + Provide ongoing reporting to senior management + Develop and deliver proactive strategies and… more