- Tradeweb (New York, NY)
- Tradeweb is seeking a Senior SEC Reporting Staff Accountant to join our best-in-class SEC Reporting department in New York City. This role will ... report into the Director of SEC Reporting and be responsible for the...an as-needed basis (eg pro forma financial schedules, monthly/quarterly reporting packages for senior management, other ad… more
- Citigroup (Jersey City, NJ)
- The Securities & Derivatives Group Manager is a senior management level position responsible for accomplishing results through the management of a team or department ... groups + Serve as an advisor and coach to new or junior level staff on procedures and work processes across multiple departments + Appropriately assess risk when… more
- Hold Brothers (New York, NY)
- About the Job: Hold Brother's is currently seeking a Staff Accountant to join our growing team! You will be working closely with the CFO and EVP of Operations & ... general ledger and sub-ledger systems to uphold integrity of downstream Regulatory Reporting feeds + Manage the daily segregation of fully paid securities and… more
- American Express (New York, NY)
- …ledger management, accounting and reporting ( SEC and regulatory reporting ). Key Responsibilities + Assist team leaders, senior managers / managers, ... American Express. We are committed to growing our audit staff significantly as we continue to expand and enhance...CPA, or equivalent) preferred + Understanding of financial accounting, SEC and regulatory reporting (FR Y-9C,Y-9LP, Y-14,… more
- The Cigna Group (New York, NY)
- ** Senior Counsel, Securities and Treasury** The Senior Counsel **, Securities and Treasury** will provide strategic legal guidance on securities law obligations, ... shareholder engagement strategies, enterprise financing, corporate responsibility reporting , insider trading, executive compensation disclosure matters, and governance… more
- CIBC (New York, NY)
- …platform; + **Exercising** proactive and independent judgment when providing advice to senior management; + **Supervising** a Compliance staff to ensure that ... licensed trust company, CIBC Private Wealth Advisors, Inc., an SEC registered investment advisor, and CIBC Delaware Trust Company,...to PWM's business units The CCO will supervise a staff of Compliance professionals and will be a member… more
- BD (Becton, Dickinson and Company) (Franklin Lakes, NJ)
- …Summary** This is a hybrid role with 3 days working in the office. Reporting to the Consolidations Senior Manager in the Corporate Controller's Group, this ... and preparation of worldwide consolidated financial statements for all reporting cycles including monthly actuals, annual budget, quarterly projections, and… more
- CIBC (New York, NY)
- …reasonable steps to ensure noncompliance issues are effectively communicated to both senior management and regulatory staff and resolved; 5) collaborating with ... To learn more about CIBC, please visit CIBC.com (https://www.cibc.com/en/about-cibc.html) The Senior US Equity Derivatives Compliance Officer is responsible for: 1)… 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,...issues (eg 6-12 months) + Generally reports to a Senior Manager or above **Education & Experience:** + Undergraduate… more
- SMBC (New York, NY)
- …maintenance of compliance manuals, policies, and procedures. + Engage with and advise senior management and staff on all issues concerning US compliance rules, ... will register with the US Securities and Exchange Commission ( SEC ) in the near future. The CCO will foster...program and operations for a New York State and SEC -registered investment adviser, ensuring activities are conducted in compliance… more
- Mizuho Corporate Bank (New York, NY)
- …and its reputation. The surveillance professional will work closely with experienced staff and develop the capacity to conduct high quality routing surveillance. ... action as needed. Provide report review status updates and activities to senior compliance officers and other key stakeholders. Contribute to the implementation of… more
- Neuberger Berman (New York, NY)
- …and oversight of third-party service providers; and + Regular interaction with and reporting , both written and verbal, to the funds' Boards of Directors/Trustees + ... Managing compliance staff dedicated to registered funds business + Overseeing select...compliance, general counsel, head of money laundering prevention and senior management **Requirements:** + At least five years' experience… more
- SMBC (New York, NY)
- …as the New Product, Underwriting, Risk Management, Compliance, and Training committees. The Senior Compliance Officer role may manage a coverage area or process with ... advice on regulatory and compliance requirements to business unit management and staff so that they may conduct their business in conformance with regulatory… more
- Citigroup (Jersey City, NJ)
- …to regulatory inquiries from each of the major regulatory bodies (eg FINRA, SEC , CFTC); and keeping abreast of regulatory changes, new regulations and internal ... personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency, as well as effectively supervise the… more
- TD Bank (New York, NY)
- …and conduct business-based analysis and execute requite implementation. + Provide ongoing reporting to senior management + Develop and deliver proactive ... trends and developments that impact business areas and advise staff as to how this may impact their current...ability to assess firm impact. Specifically MSRB, FED, FINRA, SEC , CFTC, NYSE, and OCC. + Excellent oral and… more
- TD Bank (New York, NY)
- …Life and Health Insurance Licenses required + Demonstrated ability to lead other Senior leaders through direct reporting and through influence + Demonstrated ... management leadership by hiring the best talent, setting goals, developing staff , managing employee performance and compensation decisions, promoting teamwork and… more