- 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
- Principal Financial Group (New York, NY)
- …to mentor others and work independently + Must be able to effectively work with staff at various levels to communicate reporting related issues + This position ... **What You'll Do** We're looking for a Senior Associate to join our Fund Administration, Tax & Oversight team. In this role, you'll be responsible for… more
- Revlon (New York, NY)
- …are Revlon, together, transforming beauty. **Basic Function:** 1. Financial Close and Reporting 2. Technical Accounting and Policies, including but not limited to: ... external consultants 11. Systems - Hyperion tool suite (Consolidation, Management Reporting , Planning); Wdesk/ Workiva; ERPs (SAP & JDE); Blackline; AuditBoard 12.… 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
- Revlon (New York, NY)
- …the company's control environment, including internal controls over financial reporting , safeguarding assets, and enhancing Revlon's efficiency and profitability. ... each project, from planning and scoping to testing, summarizing, communicating, reporting , and follow-up. The Sr Manager conducts financial, operational, and… more
- Citigroup (New York, NY)
- The Senior Audit Manager is a senior ...dealer requirements. + Coordinating on regulatory engagement with the SEC and reporting on relevant audit results ... Markets Inc. This role will include producing relevant Management Information (MI) for reporting to the CGMI Board and regulators, as well as completing the Risk… more
- Scotiabank (New York, NY)
- Senior Audit Manager, Compliance Audit (Non-AML) **Requisition ID:** 209949 **Salary Range:** 110,700.00 - 211,800.00 _Please note that the Salary Range shown is a ... to drive ambition for every future! **Purpose** Seeking a detail-oriented Senior Audit Manager who is seasoned Compliance Auditor with significant experience… more
- Scotiabank (New York, NY)
- …relevant SEC and FINRA rules and regulations including transaction reporting , best execution, market access, Consolidated Audit Trail (CAT) requirements, etc. + ... Senior Manager, Markets Compliance Officer **Requisition ID:** 204138...online and in-person compliance training for sales and trading staff and related support personnel. Coordinate with other Compliance… more
- Neuberger Berman (New York, NY)
- …the NB Private Markets group. This role will report to the SVP and manage the SEC reporting and filings to ensure compliance, and will be involved in hiring, ... managing, and training junior staff as the funds launch and grow. The ideal...12 years accounting/finance experience; CPA preferred + Experience with SEC reporting for Registered Investment Companies required… 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
- MUFG (New York, NY)
- …audit process (eg planning, fieldwork testing, reporting , issues validation, etc.). The Senior Auditor I also establish direction for staff on more complex ... member of our recruitment team will provide more details. **Job Summary:** The Senior Auditor I role within Internal Audit is responsible for leading independent,… more
- City National Bank (New York, NY)
- …Vendor Management onboarding, reviews, audits, and CNB issued remediation plans. * Reporting to Senior Managing Director Client Service/Operations. Lead Client ... CNB legal and compliance framework. This position functions as a team manager, develops staff and manages deployment of resources. *What you will do* * Head of CNR… 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