- 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,...gaps. + Contribute metrics to Conduct Risk Committees and Vice Chair supervision meetings, as well as Co-Head directs… more
- Morgan Stanley (New York, NY)
- …Stanley sponsored benefit programs. **Job:** **Finance* **Title:** *ISGF Lending Controller, Vice President * **Location:** *New York-New York* **Requisition ... meetings with the ISG CFO) > Support processes relating to external reporting including SEC 10-Q/K and the quarterly Earnings Release and Supplement > Work with… more
- Morgan Stanley (New York, NY)
- …Stanley sponsored benefit programs. **Job:** **Finance* **Title:** *ISGF Lending Lead, Vice President * **Location:** *New York-New York* **Requisition ID:** ... meetings with the ISG CFO) . Support processes relating to external reporting including SEC 10-Q/K and the quarterly Earnings Release and Supplement . Work with… more
- TD Bank (New York, NY)
- …for this role **Job Description:** **Preferred Qualifications:** We are looking for a Vice President , Municipal Securities Compliance Advisory to join our team ... conduct business-based analysis and execute requite implementation. + Provide ongoing reporting to senior management + Develop and deliver proactive strategies and… more
- Hold Brothers (New York, NY)
- …a self-clearing broker-dealer + Expert knowledge of broker-dealer operations, and regulatory reporting needs including FINRA, SEC , and other agencies as required ... and serve as a member of our executive team. Reporting to the CEO, this role is responsible for...and related disclosures as required by GAAP and the SEC . Additionally, this position will monitor emerging SEC… more
- Neuberger Berman (New York, NY)
- …Controller will be responsible for all aspects of operations of the Fund reporting for various private equity funds across the Neuberger Berman platform as well ... + Member of the finance team responsible for the accounting and financial reporting oversight for Neuberger Berman's Secondary Fund business + Support a team… more
- SMBC (White Plains, NY)
- …procedures, program design and enhancements. + Support BCM-aligned TPRM metrics & reporting ; providing insight into third party activity and performance for business ... Industry Standards for BCM and Third Party Risk Management (including OCC, FBR, FDIC, SEC , FFIEC, FINRA) and apply this knowledge to both BAU and strategic actions.… more
- Citigroup (New York, NY)
- …the firm and is deeply integrated into the sectors and functions. The Info Sec Prof Lead Analyst is an intermediate level position responsible for driving efforts to ... personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency. **Qualifications:** + 6-10 years of… more
- Mizuho Corporate Bank (New York, NY)
- …addressed, and validated. Summary The Regulatory Relations Team is seeking a Vice President ("VP") to primarily support and coordinate supervisory examinations, ... in the oversight of regulatory remediation program and associated reporting to senior management and regulators. The VP will...process as it relates to FRB, CFTC, FINRA, NFA, SEC and other US regulators. + Experience in review… more