- M&T Bank (Buffalo, NY)
- …and reports for the Corporation, which could include bank regulatory reports, SEC reporting, reports to shareholders and the Board of Directors, as well ... general ledger entries, adherence to generally accepted accounting principles, SEC disclosure requirements, and bank regulatory requirements. + Display foundational… more
- Janus Henderson Investors (New York, NY)
- …necessary for trading access (eg, rate and/or equity futures and options) + SEC filings + Establishing all necessary cash accounts (some are tri-party with MRA/repo ... excess margin + Tracking fund financials, expenses, and reimbursements Compliance + SEC filings and audited financial statements + Developing written policies and… more
- Scotiabank (New York, NY)
- …examinations by evaluating and responding to requests from regulators including SEC , FINRA, NY Federal Reserve, and US Treasury Department. In coordination ... to a broker-dealer equities sales and trading business. + Knowledge of relevant SEC and FINRA rules and regulations pertaining to Sales and Trading, including… more
- OTC Markets Group Inc (New York, NY)
- …financial markets. OTC Link ATS, OTC Link ECN and OTC Link NQB are each an SEC regulated ATS, operated by OTC Link LLC, a FINRA and SEC registered broker-dealer, ... member SIPC. Applicants have rights under the federal law: Equal Employment Opportunity is the Law (https://www.dol.gov/ofccp/regs/compliance/posters/pdf/eeopost.pdf) Polygraph Protection Act FMLA (https://www.dol.gov/whd/regs/compliance/posters/fmlaen.pdf)… more
- OTC Markets Group Inc (New York, NY)
- …financial markets. OTC Link ATS, OTC Link ECN and OTC Link NQB are each an SEC regulated ATS, operated by OTC Link LLC, a FINRA and SEC registered broker-dealer, ... member SIPC. Applicants have rights under the federal law: Equal Employment Opportunity is the Law (https://www.dol.gov/ofccp/regs/compliance/posters/pdf/eeopost.pdf) Polygraph Protection Act FMLA (https://www.dol.gov/whd/regs/compliance/posters/fmlaen.pdf)… more
- Meta (New York, NY)
- …Skills:** Lead Corporate Counsel Responsibilities: 1. Assist with preparation of SEC and other corporate regulatory filings, with emphasis on proxy statements ... 13. Corporate and transactional experience with public companies. Emphasis on SEC and regulatory compliance, corporate governance, and shareholder engagement 14.… more
- Colgate-Palmolive (New York, NY)
- …financial statements are accurate, timely, and compliant with US GAAP and SEC regulations. You will lead complex accounting projects, drive process improvements, and ... Big-4 public accounting firm, with a strong understanding of US GAAP, SEC regulations, and financial reporting processes + Strong technical accounting research… more
- Snap Inc. (New York, NY)
- …edge legal issues globally. You will assist in public reporting requirements, SEC filings, corporate governance, and entity management. What you'll do: + Maintain ... Familiarity with general corporate matters and governance; knowledge of corporate, SEC , M&A, entity management, and investment terminology and principles. +… more
- OTC Markets Group Inc (New York, NY)
- …financial markets. OTC Link ATS, OTC Link ECN and OTC Link NQB are each an SEC regulated ATS, operated by OTC Link LLC, a FINRA and SEC registered broker-dealer, ... member SIPC. Applicants have rights under the federal law: Equal Employment Opportunity is the Law (https://www.dol.gov/ofccp/regs/compliance/posters/pdf/eeopost.pdf) Polygraph Protection Act FMLA (https://www.dol.gov/whd/regs/compliance/posters/fmlaen.pdf)… more
- Scotiabank (New York, NY)
- …to support compliance testing for Scotiabank's compliance of CFTC Swap Dealer, SEC Security Based Swap Dealer and Futures related regulations, including cross-border ... functions within investment or commercial bank. + Familiarity with applicable SEC , CFTC, NFA rules applicable to international banks conducting institutional trading… more