- 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 ... principles of accounting and regulatory requirements. The role is directly responsible for managing the preparation of our regulatory and SEC filings, including… more
- TD Bank (New York, NY)
- …details for this role. **Line of Business:** TD Wealth **Job Description:** The Head of National Sales, Wealth designs, implements and executes sales and net asset ... with all of TD AMCB and TD Securities. The Head of National Sales, Wealth creates and executes ongoing...by hiring the best talent, setting goals, developing staff, managing employee performance and compensation decisions, promoting teamwork and… 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 ... + Oversight of approximately 30 staff responsible for middle office, settlement and reporting for the Nikko Treasury business. The team will be split across New… more
- Citigroup (Queens, NY)
- …throughout Citi, including the Businesses (eg, Markets), Risk, Treasury, Capital Controllers, SEC Reporting , Financial Planning & Analysis, as well as Enterprise ... the Controllers Organization that will report to the Global Head of Regulatory and Capital Reporting . The...**Skills:** + Strong familiarity with Regulatory capital rules and GAAP/ SEC financial reporting . + Strong leadership and… 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
- 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 ... ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency, as well as… more
- Neuberger Berman (New York, NY)
- …mutual fund, exchange-traded funds and closed-end fund structures. **Responsibilities:** + Managing all aspects of a registered fund compliance program, including: + ... and oversight of third-party service providers; and + Regular interaction with and reporting , both written and verbal, to the funds' Boards of Directors/Trustees + … 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, ... bespoke investment opportunities based on strategic fit and financial return. Developing and managing a focused senior debt and high yield origination effort that is… more
- Bank of America (New York, NY)
- …extensive industry experience, and strong analytical, communication and management skills. Position reporting to the Head of Equity Business Controls. This ... Compliance and other control partners to develop strategies, tools and reporting capabilities to strengthen current processes associated with supervision and… more
- SMBC (White Plains, NY)
- …and frameworks including (but not limited to): RCSA, KPI/KRI development and reporting , and Issues Management. + Significant experience managing complex and ... guidance impacting the TPRM program including OCC, FBR, FDIC, SEC , FFIEC, FINRA; in addition to other US regulators...Experts (SMEs), Third Party Business Representatives (TPBR's), and the head of Third Party Management Operations team. + Support… 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