- Citigroup (Getzville, NY)
- …key OTC derivative reporting related regulations including Dodd Frank Title VII (CFTC/ SEC ), and Canada. The team is responsible for the NAM Swap/Security-based Swap ... involved - front/middle/back office Detailed knowledge of + CFTC SD and SEC SBSD and related global reporting regulations and associated requirements Experience… more
- CIBC (New York, NY)
- …Investment Banking, Commodities and brokerage operations. + Solid understanding of FINRA, SEC and NYSE rules and regulations + Knowledge of federally recognized ... management experience + Prior experience working at a securities regulator (FINRA, SEC , NYSE) highly preferred + Former role as a commissioned securities examiner,… more
- TD Bank (New York, NY)
- …+ Ensure the surveillance department aligns with global regulatory requirements (eg, SEC , FINRA, CFTC, NFA, FCA, MAS, etc.) and industry standards for GSIBs ... broker/dealer exam team). + Surveillance experience at Financial Market Regulator (eg, SEC , FINRA, CFTC, NFA, or Exchange Market Surveillance department) is highly… more
- TD Bank (New York, NY)
- …dedicated to setting new industry standards. **Epoch Investment Partners, Inc., a SEC registered investment adviser with approximately $30 billion of assets under ... this person will be responsible for drafting procedures and controls to address new SEC rules that will impact Epoch and its affiliates. This person will also assist… more
- Grant Thornton (Melville, NY)
- …the business - for financial sponsors and corporate clients + Supporting SEC regulatory filings for carve-outs and facilitating the preparation of carve-out ... (required) + Analytical, technical skills, including proficiency in US GAAP, SEC reporting rules and standards; accounting, transaction or mergers and acquisition… more
- City of New York (New York, NY)
- …due diligence, such as reporting on financial information in accordance with the SEC and other federal, state and/or local finance laws. - Working closely with ... relating to the City s financings, including but not limited to MSRB and SEC amendments. - Preparing and reviewing documents related to the issuance of debt… more
- Meta (Albany, NY)
- **Summary:** At Cross-Meta Security (X- Sec ) our mission is to protect the company, our community, and its data while empowering safe innovation. Within X- Sec , ... the Detect & Respond (XDR) pillar aims to minimize the harm caused by unauthorized access or inappropriate usage of Meta's systems and data. To do so, we build platforms and services to help us detect, investigate, contain and recover from Security Incidents… more
- AON (New York, NY)
- …familiarity with corporate governance policies and trends, especially those related to SEC disclosure, ISS and Glass Lewis policies, and other technical areas ... familiarity with corporate governance policies and trends, especially those related to SEC disclosure, ISS and Glass Lewis policies, and other technical areas… more
- Compass Group, North America (Rochester, NY)
- …a regular cadence of communication and elevated levels of execution. + Each SEC leads the culinary strategy development and deployment for a designated group of ... prescribed cadences depending on business imperatives. + We love growth - the SEC role has frequent involvement in touring and scoping potential new client… more
- PVH Corp. (New York, NY)
- …team members, External Reporting team members, Total Reward team members on SEC filings through Workiva. + Preparation and distribution of blackout/trading window ... with Diligent Boards or similar Board portal desired + Experience with Workiva or other SEC reporting platform + Notary Public license in New York a plus + 8+ years… more