- 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
- 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
- ADP (Roseland, NJ)
- …major Public Accounting Firm and/or a large, multinational company in similar capacity ( SEC reporting and financial policy). + Must have strong technical ... data necessary to produce external financial reports. Coordinates and works to prepare SEC filings working closely with senior management and external auditor… 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
- 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
- Broadridge Financial Solutions (Newark, NJ)
- …key risk indicators (KRIs) and regularly report on risk exposure and status to senior management. + Foster a culture of risk awareness and compliance throughout the ... Participate in the Risk and Compliance meetings + BPO Monthly Error compilation/ reporting , including: + Producing monthly report that captures all incidents. +… 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