- 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,...gaps. + Contribute metrics to Conduct Risk Committees and Vice Chair supervision meetings, as well as Co-Head directs… more
- Morgan Stanley (New York, NY)
- …Stanley sponsored benefit programs. **Job:** **Finance* **Title:** *ISGF Lending Controller, Vice President * **Location:** *New York-New York* **Requisition ... meetings with the ISG CFO) > Support processes relating to external reporting including SEC 10-Q/K and the quarterly Earnings Release and Supplement > Work with… more
- Morgan Stanley (New York, NY)
- …Stanley sponsored benefit programs. **Job:** **Finance* **Title:** *ISGF Lending Lead, Vice President * **Location:** *New York-New York* **Requisition ID:** ... meetings with the ISG CFO) . Support processes relating to external reporting including SEC 10-Q/K and the quarterly Earnings Release and Supplement . Work with… more
- TD Bank (New York, NY)
- …for this role **Job Description:** **Preferred Qualifications:** We are looking for a Vice President , Municipal Securities Compliance Advisory to join our team ... conduct business-based analysis and execute requite implementation. + Provide ongoing reporting to senior management + Develop and deliver proactive strategies and… more
- Hold Brothers (New York, NY)
- …a self-clearing broker-dealer + Expert knowledge of broker-dealer operations, and regulatory reporting needs including FINRA, SEC , and other agencies as required ... and serve as a member of our executive team. Reporting to the CEO, this role is responsible for...and related disclosures as required by GAAP and the SEC . Additionally, this position will monitor emerging SEC… more
- Citigroup (New York, NY)
- …the firm and is deeply integrated into the sectors and functions. The Info Sec Prof Lead Analyst is an intermediate level position responsible for driving efforts to ... personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency. **Qualifications:** + 6-10 years of… more
- SMBC (Jersey City, NJ)
- …regulations (eg, Federal Reserve Bank, NYDFS, FDIC, OCC, CFTC, NFA, FINRA, SEC , MSRB). + Experience working with regulators, specialized regulatory consulting firms ... environments. + Advanced project management skills (including identification, tracking, reporting and analysis) experience in leading and program managing end-to… more
- RWJBarnabas Health (New Brunswick, NJ)
- …in conjunction with the Chief Operating Officer (COO) of RWJUH and the Senior Vice President (SVP) of Oncology Administration, is responsible for managing the ... delegating responsibilities to subordinates. + Compiling performance reports and reporting to the CEO, President , COO and...directors + Ensuring all IRS laws, government regulations, and SEC rules are met + Insure that the Cancer… more
- Mizuho Corporate Bank (New York, NY)
- …addressed, and validated. Summary The Regulatory Relations Team is seeking a Vice President ("VP") to primarily support and coordinate supervisory examinations, ... in the oversight of regulatory remediation program and associated reporting to senior management and regulators. The VP will...process as it relates to FRB, CFTC, FINRA, NFA, SEC and other US regulators. + Experience in review… more