- Scotiabank (New York, NY)
- Compliance Testing Senior Manager , Swap Dealer and Derivatives Compliance **Requisition ID:** 220508 **Salary Range:** 117,400.00 - 224,700.00 _Please note that ... to support compliance testing for Scotiabank's compliance of CFTC Swap Dealer, SEC Security Based Swap Dealer and Futures related regulations, including cross-border… more
- Citigroup (Getzville, NY)
- …in New York City, Buffalo, Delaware and Tampa and reports (through the broader Group manager ) to the Controller of Citigroup. The SEC Group is responsible for ... This position is part of Citi's SEC Filings Team which is composed of accounting...reporting, Citi's Accounting Policy Manual Reporting, and analysis for Senior Management and Citi's Board of Directors. In addition… more
- Colgate-Palmolive (New York, NY)
- …unique talents and drive impactful solutions. We are seeking an experienced and driven Manager / Senior Manager to join our Financial Reporting and Technical ... are accurate, timely, and compliant with US GAAP and SEC regulations. You will lead complex accounting projects, drive...annual financial statements + Coordinate and manage the external audit process; serve as a primary point of contact… more
- SMBC (New York, NY)
- …right stakeholders at the right time. + Partner with Compliance, Risk, Audit , and Technology teams to ensure program objectives align with regulatory expectations ... execution of remediation activities related to regulatory findings and audit observations, ensuring timely closure, documentation, and sustainable control… more
- SMBC (White Plains, NY)
- …As part of SMBC Americas' strategic transformation, we are seeking a Senior Program Manager for delivering enterprise-wide Artificial Intelligence governance and ... performance across the program team + Serve as a senior liaison between business, technology, compliance, and risk teams...compliance with regulatory frameworks such as BCBS 239, GDPR, OCC/ SEC expectations, and internal audit standards +… more
- KeyBank (NY)
- …Anti-Money Laundering (AML) Enterprise Team activities, including facilitation of audit requests, task tracking, mailbox monitoring, process change management, ... projects, and facilitate processes as directed by the AML Enterprise Team Compliance Manager and the Team Director. **ESSENTIAL JOB FUNCTIONS** + Facilitate audit… more
- Neuberger Berman (New York, NY)
- …requests from senior management and portfolio managers + Assist with SEC or other regulatory compliance as required **Qualifications** : + Bachelor's or higher ... hoc calculations + Review management fee calculations + Assist audit and tax professionals in year-end audit ...act and operate independently with minimal daily direction from manager to accomplish objectives + Proficiency with email and… more
- Neuberger Berman (New York, NY)
- …investor relations to address LP inquiries + Complete various ad-hoc requests from senior management and portfolio managers + Support SEC and other regulatory ... IRRs on a quarterly basis + Review management fee calculations + Collaborate with audit and tax professionals to support year-end audit and tax reporting… more
- TD Bank (New York, NY)
- …Ensure TDS meet regulatory requirements as it related to surveillance data (eg, SEC , CFTC, NFA, FINRA, FCA, CIRO, etc.) and aligns with internal compliance policies. ... issues, implement controls to prevent recurrence, and enhance reporting mechanisms for senior management. + Stakeholder Engagement: Serve as primary contact to Trade… more