- Amalgamated Bank (New York, NY)
- The Head of Financial Reporting works under the guidance of and assists the Chief Accounting Officer in preparing and reporting financial statements ... related filings + Prepare and review internal and Board of Directors financial reporting + Responsible for identification of evolving accounting standards… more
- SMBC (New York, NY)
- …largest global financial institutions. Based in New York City, we are an SEC registered Broker dealer that provides financial products and services to global ... SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a...approximately 30 staff responsible for middle office, settlement and reporting for the Nikko Treasury business. The team will… more
- Citigroup (Queens, NY)
- …regulatory guidance. **Skills:** + Strong familiarity with Regulatory capital rules and GAAP/ SEC financial reporting . + Strong leadership and personnel ... the Controllers Organization that will report to the Global Head of Regulatory and Capital Reporting . The...including the Businesses (eg, Markets), Risk, Treasury, Capital Controllers, SEC Reporting , Financial Planning &… more
- CIBC (New York, NY)
- …Derivatives businesses; (2) taking reasonable steps to ensure compliance with all SEC , FINRA, and all other relevant SRO (eg Cboe) regulatory rule requirements ... Markets business, which includes liaising with external regulators (eg FINRA, SEC , Federal Reserve), internal infrastructure support and front office personnel, in… 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,...Committees and Vice Chair supervision meetings, as well as Co- Head directs supervisory meetings. + Execute internal control procedures… more
- CIBC (New York, NY)
- …in order to enhance operational efficiency and effectiveness of the regulatory reporting regime. **How You'll Succeed** + The ideal candidate will utilize SQL ... with the tracking and organization of surveillance metrics of various regulatory reporting obligations, including: CAT, TRACE, LOPR, Swap Dealer Trade Reporting … more
- Citigroup (New York, NY)
- …Expenses, Net Income and Balance Sheet reporting for Equites including 10Q/10K SEC reporting and related disclosures. + Ensuring daily reporting of ... timely manner. + Working closely with the Global business head to ensure that Finance concerns are appropriately prioritised;...Equities (including Prime) business and associated P/(L)/ PAA and Financial reporting + Strong Risk and Control… more
- Principal Financial Group (New York, NY)
- …senior and high-yield debt origination capabilities within the Infrastructure Debt platform. Reporting directly to the Head of Originations and Structuring, ... financings. + Originate bespoke investment opportunities based on strategic fit and financial return. Developing and managing a focused senior debt and high yield… more
- Morgan Stanley (New York, NY)
- …Region informed of significant matters and is a non-revenue sharing position that has dual reporting to the Head of the Centralized Review Unit (CRU) and the ... Morgan Stanley is a leading global financial services firm providing a wide range of...required for role or by management Strong knowledge of SEC , FINRA Rules and Regs including Investment and Product… more
- TD Bank (New York, NY)
- …Business lines from a Compliance perspective today. This role reports into the Head of Fixed Income & Munis Compliance Advisory. **Responsibilities:** + Provide day ... conduct business-based analysis and execute requite implementation. + Provide ongoing reporting to senior management + Develop and deliver proactive strategies and… more