- 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
- Deloitte (New York, NY)
- …Controllership capabilities and enhanced by knowledge and understanding of the ESG reporting environment. A career in the ESG Controllership practice will provide ... in a variety of industries. Our ESG Controllership team is seeking Senior Consultants who are interested in delivering ESG-focused controllership engagements to help… 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
- The Cigna Group (New York, NY)
- ** Senior Counsel, Securities and Treasury** The Senior Counsel **, Securities and Treasury** will provide strategic legal guidance on securities law obligations, ... shareholder engagement strategies, enterprise financing, corporate responsibility reporting , insider trading, executive compensation disclosure matters, and governance… 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
- CIBC (New York, NY)
- …platform; + **Exercising** proactive and independent judgment when providing advice to senior management; + **Supervising** a Compliance staff to ensure that ... licensed trust company, CIBC Private Wealth Advisors, Inc., an SEC registered investment advisor, and CIBC Delaware Trust Company,...to PWM's business units The CCO will supervise a staff of Compliance professionals and will be a member… more
- CIBC (New York, NY)
- …reasonable steps to ensure noncompliance issues are effectively communicated to both senior management and regulatory staff and resolved; 5) collaborating with ... 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)… 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,...issues (eg 6-12 months) + Generally reports to a Senior Manager or above **Education & Experience:** + Undergraduate… more
- Xerox (Stamford, CT)
- …worldwide accounting function of a $6.5 billion global technology leader. As a senior member of the finance team, the Chief Accounting Officer will provide ... all public company accounting regulatory requirements, internal and external reporting and consolidation and accounting operations management. Additional responsibilities… 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
- Bloomberg (New York, NY)
- We Protect Bloomberg. The Bloomberg Security Incident Management ( Sec IM) team provides consistent coordination and management of cybersecurity (security) incidents ... of business and vast global network. **What's the team?** Sec IM works closely with teams across Bloomberg's Chief...shift hours in an emergency or during times of staff shortage Coordinate & communicate: - Delegate tasks in… 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