- New York State Civil Service (Albany, NY)
- …reports for review by the unit Manager.Assist in the evaluation of broker - dealer and other service provider performance.Assist with the development and ... special calculations and drafting year-end journal entries.Assist in ensuring compliance with federal and State laws, financial standards/practices, and Authority… more
- BMO Financial Group (New York, NY)
- Member of the broker / dealer regulatory reporting team who will be responsible for the 15c-3 customer reserve calculation for BMO Chicago Branch, and as needed ... Works closely with business leaders, Finance Partners, and operations to ensure compliance with 15c3-3 governing BMO Chicago Branch treasury activity. + Preparation… more
- Ankura (New York, NY)
- …root cause analysis, pre-issuance and post-issuance reviews of issuer and broker - dealer audit engagements, leading and supporting investigations, and independent ... process, from case assessment through expert testimony, as well as compliance verification services following resolution of the matter. More specifically these… more
- Coinbase (Albany, NY)
- …instruments accounting* within a financial institution (eg, investment bank, hedge fund, broker - dealer ). * Strong analytical and problem-solving skills, with the ... multiple priorities in a dynamic, fast-paced environment. * Experience with SOX compliance within a financial services context. * Proficiency with large ERP systems… more