- Tradeweb (New York, NY)
- Tradeweb is seeking a Senior SEC Reporting Staff Accountant...New York City. This role will report into the Director of SEC Reporting and be ... documents (ie earnings presentations, investor presentations, monthly activity reports, etc.). The SEC Reporting group is also responsible for managing the… more
- Ankura (New York, NY)
- …for regulatory undertakings. Role Overview: Ankura Consulting has a full-time position for a Director / Senior Director in its Audit Advisory Practice. Audit ... reviews, pre-inspection reviews, regulatory remediation assistance, and investigations. Responsibilities: As a Director or Senior Director in the Audit… more
- OceanFirst Bank (Red Bank, NJ)
- …SPECIFICATIONS:** **Knowledge, Skills & Abilities** + Technical accounting expertise in SEC reporting requirements, regulatory reporting requirements, ... **Position** : Director of External Reporting & Tax...1. Leads and directs accurate and timely external financial reporting in compliance with SEC regulations, including… more
- Citigroup (Queens, NY)
- …very closely with other groups throughout Citi, including Risk, Treasury, Controllers, SEC Reporting , Accounting Policy, Financial Planning & Analysis and ... The Senior Group Manager position is an integral member...as loans, securities, deposits and derivatives. Strong familiarity with GAAP/ SEC financial reporting . + Sound judgment to… more
- Helsinn Therapeutics (US), Inc. (Iselin, NJ)
- Director of Accounting & Financial Reporting Accounting...policies in a SOX environment. + All aspects of SEC , US GAAP, IFRS and statutory reporting + ... financial statements in pharmaceutical industry # years' experience in SEC /external reporting area and XBRL . Solid...a fast-paced environment . Minimum of 8-10 years of senior Accounting and Finance experience within a pharmaceutical or… more
- CIBC (New York, NY)
- …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) ... (2) taking reasonable steps to ensure compliance with all SEC , FINRA, and all other relevant SRO (eg Cboe)...to ensure noncompliance issues are effectively communicated to both senior management and regulatory staff and resolved; 5) collaborating… more
- MTA (New York, NY)
- Deputy Director Finance Job ID: 8765 Business Unit: MTA Headquarters Location: New York, NY, United States Regular/Temporary: Regular Department: Office of Financial ... Posted: Sep 9, 2024 Description JOB TITLE : Deputy Director , Finance SALARY RANGE : $144,515 - $153,000 HAY...on building and maintaining relationships with analysts, investors, and senior portfolio managers that rate, buy and hold MTA… more
- JPMorgan Chase (Jersey City, NJ)
- …and technical expertise in the implementation and maintenance of a comprehensive SEC and External Risk reporting control environment. Leveraging this expertise, ... providing risk and control design expertise related to financial reporting + Advise and influence senior leaders...of RM&C CFO Control Managers committed to a comprehensive SEC , CCAR and External Risk reporting control… more
- BMO Financial Group (New York, NY)
- The US Capital Markets Compliance Team is seeking a Compliance Director with primary accountability for the Firm's Cash Equities Electronic Trading businesses, ... the rules and regulations related to the US Cash Equities markets, including FINRA, SEC , SRO rules and market access regulations. You will provide advice to the LOB… more
- TD Bank (New York, NY)
- …for this role **Job Description:** **Preferred Qualifications:** We are looking for a Director , US Markets Compliance Advisory to join our team in NYC. The ideal ... experience in the investment banking space, preferably in an advisory capacity. The Director will primarily focus on the management of the firms compliance program… more
- Principal Financial Group (New York, NY)
- …focusing on the Americas and Asia Pacific regions, and the other on EMEA. The Director - Origination & Structuring will play a pivotal role in building and expanding ... our senior and high-yield debt origination capabilities within the Infrastructure...high-yield debt origination capabilities within the Infrastructure Debt platform. Reporting directly to the Head of Originations and Structuring,… more
- Wells Fargo (New York, NY)
- **About this role:** Wells Fargo is seeking a Technology Director for its Application Security Team. This individual will lead the Application Security Engineering ... and manage delivery of engineering commitments (features, upgrades, scalability and reporting from tools etc.) aligned to application security strategic priorities… 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
- New York Times (New York, NY)
- …financial reporting , and you will report directly to the Director , Corporate Compliance. **Responsibilities:** + Coordinate annual updates to narratives and ... **About the Role** We are looking for an experienced senior analyst to help support the company-wide SOX compliance...SOX self-assessors + Help determine SOX testing scope following SEC and PCAOB guidelines + Maintain an understanding of… more
- CIBC (New York, NY)
- …NA, an OCC licensed trust company, CIBC Private Wealth Advisors, Inc., an SEC registered investment advisor, and CIBC Delaware Trust Company, a limited purpose ... and maintaining an effective compliance program to address all relevant OCC, SEC , Federal Reserve and Delaware regulatory requirements pertaining to PWM's business… more
- TD Bank (New York, NY)
- …effectively and is also fit for purpose. The role reports to the Director , Global Markets Supervision (Equities), and will provide primary coverage over US Equities ... First Line surveillance and business conduct reviews. + Compile management reporting on trade capture metrics, regulatory scorecards, policy exceptions and other… more
- Mizuho Corporate Bank (New York, NY)
- …the oversight of regulatory remediation program and associated reporting to senior management and regulators. The Director will liaise and collaborate with ... other reporting and presentations for various internal committees and senior management. + Maintain and enhance governance documents related to remediation… more
- New York Times (New York, NY)
- …and expense activities. Monitor activities of standard setting bodies (FASB and SEC ). Document accounting conclusions for approval by senior management and ... or other relevant accounting standards. + Document conclusions for approval by senior management and auditors. + Plan and coordinate research of technical accounting… more