- Warner Music Group (New York, NY)
- …external financial statements (10-K, 10-Q, etc.) in accordance with US GAAP and SEC reporting requirements. + Ensure compliancewith all applicable SEC and other ... knowledge of financial systems and software + Intermediate level knowledge of GAAP/ SEC accounting and reporting. + Proficient with MS office (Excel, PowerPoint and… more
- Citigroup (Getzville, NY)
- **Key Responsibilities:** + The role focuses on but is not limited to SEC Rule 613 Consolidated Audit Trail (CAT), Large Option Position Reporting, Blue Sheet ... team + Prepare and analyze regulatory reports pursuant to SEC , FINRA, and CFTC rules & regulations. + Perform...annual audits and inquiries by the firm's regulators (eg, SEC , FINRA) is a plus. + Experience in trade/transaction… more
- Warner Music Group (New York, NY)
- …consolidated financial documents (eg 10-K, 10-Q, etc.) in line with US GAAP and SEC reporting requirements + Assist in ensuring compliance with all applicable SEC ... with knowledge of financial systems and software + Entry level knowledge of GAAP/ SEC accounting and reporting. + Proficient with MS office (Excel, PowerPoint and… more
- Mizuho Corporate Bank (New York, NY)
- Asset Management One USA Inc is a New York-based asset manager ( SEC registered investment adviser and CFTC registered CTA/CPO) with approximately $ 7 b under ... + Assist with regulatory compliance, including filings of regulatory forms (NFA/ SEC ) + Assist with investor reporting preparation and ad-hoc reporting requests… more
- Neuberger Berman (New York, NY)
- …NB Private Markets group. This role will report to the SVP and manage the SEC reporting and filings to ensure compliance, and will be involved in hiring, managing, ... board materials, marketing presentations, and other reporting + Monitoring compliance with the SEC and IRS regulatory tests in coordination with legal and tax teams… more
- Shake Shack (New York, NY)
- …emerging authoritative accounting literature and releases issued by the FASB and SEC . + Research new and existing accounting standards and provide interpretation and ... including note disclosures to ensure compliance with GAAP and SEC reporting requirements. + Assist in preparation of Disclosure...communication skills + Strong knowledge of US GAAP and SEC reporting rules + Strong attention to detail +… more
- Citigroup (Getzville, NY)
- …for executing daily controls to mitigate the inherent risk of non-compliance with the SEC 's Client Asset Protection rule (15c3-3), a Tier 2 US regulation. This is ... deemed a Financial Responsibility rule by the SEC , requiring an annual attestation by CGMI's executives CEO,...Externally, this role regularly interfaces with representatives from the SEC and FINRA's NY offices via Ongoing Supervision (OGS)… more
- BMO Financial Group (New York, NY)
- Our ideal candidate has a SEC /FINRA examiner background with broker dealer experience including SEC 15c3 experience, possessing a strong understanding of broker ... dealer operations and SEC /FINRA regulations. If you have dealt with trading intricacies and have showcased a comprehensive grasp of the industry, this might be the… more
- RELX INC (New York, NY)
- …Team Intelligize is the leading provider of analytical tools for SEC compliance (external reporting) and transactional (IPOs, M&A) professionals. Intelligize offers ... About the Role Are you a technical accountant with deep expertise in SEC disclosure requirements and a growing passion for solving complex user problems through… more
- Citigroup (Getzville, NY)
- …regulation and industry practice + Manage and oversee BAU processes for CFTC, SEC and CAD Regulatory Reporting, ensuring all reporting is completed accurately and on ... of contact for NAM regulations, including: CFTC, CAD, and SEC + Ensure REG Ops's procedures and controls adhere...of the following regulatory reporting regimes: CFTC, CAD, and/or SEC Reporting + 3+ years of previous financial services… more