- JPMorgan Chase (New York, NY)
- Step into the role of Cybersecurity Tech Regulatory Engagement Lead and lead the forefront of technological innovation and security. This pivotal position offers ... and forward-thinking tech environment. As a Cybersecurity Tech Regulatory Engagement Lead in Cybersecurity Technology & Controls, you will expertly navigate the… more
- TD Bank (New York, NY)
- …Inspections both remotely and in person in accordance with FINRA RULE 3110 + Lead branch inspections and execute independently all key steps from scoping to final ... to closure. + Prepare metrics and provide details for reporting on Branch Inspection progress both internally and externally...Branch Inspections testing a plus. + Strong knowledge of SEC , FINRA and other relevant regulatory requirements. + Strong… more
- Citigroup (Getzville, NY)
- The Sec & Derivatives Lead Analyst is a senior level position responsible for processing orders and transactions originating from trading desks and branch ... personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency. **Qualifications:** + 6-10 years of… more
- AON (New York, NY)
- …Aon's commitment to transparent and strategic communication with the investment community. Reporting directly to the Global Head of Investor Relations, the Senior ... vision is well understood and well received in the market. + Compliance & Reporting : + In partnership with controllership, FP&A, Treasury, Tax, Legal and others to… more
- Marex (New York, NY)
- …Technology Department delivers differentiation, scalability and security for the business. Reporting to the COO, Technology provides digital tools, software services ... quality control + Ensuring compliance with the company's regulatory requirements under the SEC , FINRA, NFA, CFTC and other applicable exchanges + Adhere to the… more
- Arrow Financial Corporation (Glens Falls, NY)
- …accurate closing of the books, consolidation process and preparation of financial statements. Reporting > Lead the preparation of the annual Proxy Statement. > ... for you if you have experience in: > Operational Accounting > Financial Reporting About this position: Oversee the Company's operational accounting and financial … more
- Citigroup (New York, NY)
- …ADRs, GDRs), including program structure, lifecycle management, regulatory compliance (eg, SEC filing requirements), and market dynamics. + Collaborate with internal ... identify and escalate operational risks or compliance concerns. + Manage client reporting and data analytics related to DR program performance. **5. Market… more
- Raymond James Financial, Inc. (New York, NY)
- …tools and reports providing real-time insights into risk trends, including ad hoc reporting + Lead the evaluation, replacement, selection, and implementation of ... on a timely and accurate basis. Recruit, train and lead teams responsible for working with RJF Risk stakeholders...OCC, FRB, FDIC, SEC , FINRA) and ability to apply data analytics to risk reporting and risk… more
- JPMorgan Chase (New York, NY)
- …of fund governance, including preparation of Board materials and annual compliance reporting . + Ability to operate independently and lead cross-functional ... you will serve as the Chief Compliance Officer (CCO) where you will lead oversight of regulatory compliance for registered closed-end funds in alternative investment… more
- Mastercard (Harrison, NY)
- …used by executive management to present quarterly earnings results. * Review SEC reporting footnotes and disclosures involving activities of Corporate Treasury ... Serves as a key contact with respect to accounting, financial reporting and internal control for Mastercard's Corporate Treasury department. This individual… more