- CIBC (New York, NY)
- …responsible for 1) advising CIBC's global Swaps OTC Derivatives businesses on CFTC, SEC , and NFA rule requirements, as well as CIBC's Global Markets employees on ... the technical aspects of rules for the SEC Security Based Swaps Dealer and the CFTC Swap...with regulatory exams by regulators such as NFA and SEC ; 5) developing and conducting training on specific rules… more
- TD Bank (New York, NY)
- …automated (pre-trade) controls to address regulatory and best practice requirements (eg SEC Rule 15c3-5, NI 23-103, MiFID RTS6). + Present technical matters in ... knowledge of US Electronic and Algo Trading rules and regulations, more specifically FINRA and SEC (eg, SEC Reg NMS, SEC Reg SHO, SEC Rule 15c3-5, FINRA… more
- Insight Global (New York, NY)
- …pipeline, managing clearing house relationships, and ensuring regulatory alignment with the SEC , FINRA, and Nasdaq. The ideal candidate will be bilingual in Chinese ... flow. Maintain accurate financial records and reporting in line with SEC requirements. Support deal structuring and investor onboarding processes. Compliance… more
- Robert Half Legal (New York, NY)
- …in Office (New York, NY) Duration: 3-4+ months Pay: $45+/hour Key Responsibilities: + SEC Filings: Prepare and file Forms 3, 4, 5, Schedules 13D/G, Proxy Statements, ... and Form 8-Ks via the SEC website. Maintain filer codes and update officer/director information....calls. + Technology & Research: Utilize online platforms including SEC EDGAR, Mellon Investor Services, ADP, NYSE, BIMCO, and… more
- Securities and Exchange Commission (New York, NY)
- Summary This announcement is open to current SEC employees in the Office of Credit Ratings (OCR) only. The Supervisory Securities Compliance Examiner, SK-1831-17 ... you are an applicant who needs a reasonable accommodation to participate in the SEC application process due to a medical disability, please contact ###@ sec .gov.… more
- NBC Universal (New York, NY)
- …responsible for providing support for all board matters, legal entity management, SEC filings and shareholder meetings. Essential Responsibilities: + Work as a ... the preparation and filing of required reports with the SEC and NASDAQ, including: preparing and proofing Forms 3,...proofing Forms 3, 4 and 5; EDGARizing and proofing SEC filings in-house using filing software; maintaining required EDGAR… more
- JPMorgan Chase (Brooklyn, NY)
- …and quarterly business results with various lines of business, Regulatory Controllers, and SEC reporting teams + Assist in the thorough assessment of issues and ... to control procedures to ensure accurate reconciliation between regulatory filings, SEC filings and other published financial reports (eg, Earnings, Form 10-Q,… more
- Citigroup (New York, NY)
- …ADRs, GDRs), including program structure, lifecycle management, regulatory compliance (eg, SEC filing requirements), and market dynamics. + Collaborate with internal ... issues) as they pertain to DRs. **2. Regulatory and Compliance Landscape** + ** SEC Regulations:** Comprehensive understanding of SEC rules (eg, Securities Act of… more
- Synchrony (New York, NY)
- …on implementation issues. + Assist in review of quarterly and annual SEC and regulatory filings, including management review meetings and supplemental financial ... relevant facts and formulate technical accounting positions, considering GAAP, SEC and regulatory guidance, industry practices, etc. + Demonstrated experience… more
- Broadridge Financial Solutions (New York, NY)
- …other pivotal market transactions, ensuring timely, accurate, and compliant delivery of SEC filings and other critical communications. We are looking for a ... requests for document composition, proofreading, editing, and production of SEC filings (including prospectuses, proxy statements, and other financial disclosures)… more