- American Express (New York, NY)
- …This individual will join the Basel Reporting unit of the US Regulatory Reporting team to lead the efforts on understanding and documenting the requirements ... CPA/Chartered Accountant or similar qualification, preferred. + Prior Regulatory/Federal Reserve/ SEC /External Reporting and banking/financial services experience preferred.… more
- OTC Markets Group Inc (New York, NY)
- …experienced and strategic AVP, Digital Marketing to join our dynamic Marketing team. Reporting directly to the Chief Marketing Officer, this role is instrumental in ... annual bonus program and equity. What You'll Do: + Lead the planning and execution of integrated digital marketing...Link ECN and OTC Link NQB are each an SEC regulated ATS, operated by OTC Link LLC, a… more
- Marex (New York, NY)
- …(http://www.marex.com/) Purpose of Role: The US Compensation Controller will ensure consistent reporting of employee expenses across the group. The role is the ... Group Compensation Controller based in London, the role will lead the strategic direction and drive the execution of...for the US group in order to meet CEO reporting requirements and will also work closely with senior… more
- Citizens (New York, NY)
- …and other activities requiring principal approval to ensure adherence to FINRA, SEC , and other regulatory requirements + Point of Escalation: All RSO, Wealth ... principal approvals, ensuring consistent application across the team + Regulatory Reporting : Maintaining accurate records of review activities and preparing reports… more
- GE Vernova (Schenectady, NY)
- …energy company. The successful candidate will be responsible for helping lead the Electrification segment tax accounting function, including tax provisions, SOX ... of required tax footnotes and disclosures in the organization's SEC forms 10-Q and 10-K. + Assist in leading...10-K. + Assist in leading Electrification's tax accounting & reporting , ensuring accurate and timely reporting of… more
- Echelon Supply & Service (Liverpool, NY)
- …Controller Candidate is responsible for overseeing the General Accounting and Financial Reporting functions and the financial services area including Credit, A/R and ... company assets are adequately safeguarded and that all financial reporting is prepared in compliance with all financial policies,... is prepared in compliance with all financial policies, SEC requirements and US GAAP. Duties and Responsibilities |… more
- TD Bank (New York, NY)
- …findings, coordinates with the field on client response, prepares periodic reporting to multiple stakeholders, and manages ongoing marketing items to ensure ... Analyst** **will review marketing communication, provide input for periodic management reporting , and oversee action plan development and remediation processes for… more
- Citizens (New York, NY)
- …compliance at a FINRA registered broker dealer. + In-depth knowledge of SEC and FINRA rules (trade reporting , markups/markdowns, suitability, communications). + ... Officer for our Fixed Income Sales & Trading team. Reporting to the Head of Sales & Trading Compliance,...frameworks. + Develop and deliver ongoing compliance training. + Lead responses to regulatory audits, exams, and inquiries. Qualifications… more
- SMBC (New York, NY)
- …across the organization. We are seeking experienced Program Managers to lead enterprise-wide data transformation and governance initiatives. The ideal candidates ... objectives align with regulatory expectations and internal control standards. + Lead the coordination and execution of remediation activities related to regulatory… more
- Unity Technologies (New York, NY)
- …capital markets transactions, executive compensation, stock administration, and public company reporting and compliance, including: + Lead Unity's public company ... Unity as a public company. + Manage affiliate trading matters, including Section 16 reporting and 10b5-1 plans. + Providing legal support to Board of Directors and… more