- Neuberger Berman (New York, NY)
- …+ Serve as a key member of the finance team overseeing accounting and financial reporting for Neuberger Berman's Secondary Funds business + Support accounting ... and financial reporting oversight for Neuberger Berman's broader...requests from senior management and portfolio managers + Support SEC and other regulatory compliance activities as needed **Qualifications:**… more
- Neuberger Berman (New York, NY)
- …+ Member of the finance team responsible for the accounting and financial reporting oversight for Neuberger Berman's Specialty Finance business + ... from senior management and portfolio managers + Assist with SEC or other regulatory compliance as required **Qualifications** :...Strong understanding of accounting theory and fund accounting and financial reporting + 8 - 12 years… more
- TD Bank (New York, NY)
- …the Office of Currency Comptroller (OCC), Securities and Exchange Commission ( SEC ) and Financial Industry Regulatory Authority** **(FINRA)** **Customer ... findings, coordinates with the field on client response, prepares periodic reporting to multiple stakeholders, and manages ongoing marketing items to ensure… more
- SMBC (New York, NY)
- SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, ... than 130 offices and 80,000 employees worldwide in nearly 40 countries. Sumitomo Mitsui Financial Group, Inc. (SMFG) is the holding company of SMBC Group, which is… more
- TIAA (New York, NY)
- …into three categories: 1) Investment and Business Risk Management; 2) Reporting and Oversight; 3) Practice Management. **Key Responsibilities and Duties** ... in behavior. Perform statistical analysis of investment risk data to create reporting frameworks that track exposure levels, identify trends, and inform risk… more
- TD Bank (New York, NY)
- …filings, providing relevant training, carrying out independent monitoring and oversight activities, reporting on the state of compliance to the Board, UDP and senior ... management, as needed, and objective guidance and effective challenge. Reporting to the VP, TD Securities US this role...regulations with the ability to assess firm impact. Specifically, SEC , CFTC, FINRA, NFA, FED and OCC. + strategy… more
- NBC Universal (New York, NY)
- …processes. + Stay current on legislative and regulatory changes impacting retirement and financial wellbeing programs. + Data Analysis & Reporting + Prepare ... to the satisfaction of customary conditions. Position Summary: The Analyst, Financial Wellbeing and Retirement is responsible for supporting the strategic design,… more
- TD Bank (New York, NY)
- …tooling and metrics. The ideal candidate will have strong expertise in financial markets, data governance, trade surveillance systems, and regulatory requirements at ... a large investment bank/systemically important financial institution in the US. Our team of trusted...regulatory requirements as it relates to surveillance data (eg, SEC , CFTC, NFA, FINRA, FCA, CIRO, etc.) and aligns… more
- TD Bank (New York, NY)
- …accuracy, completeness, and timeliness of data used to detect market abuse, financial misconduct, and regulatory violations. The ideal candidate will have deep ... expertise in financial markets, data governance, trade surveillance systems, and regulatory...regulatory requirements as it related to surveillance data (eg, SEC , CFTC, NFA, FINRA, FCA, CIRO, etc.) and aligns… more
- University of Rochester (Rochester, NY)
- …a large part in day-to-day activities as well as annual department wide reviews/ reporting on hardware end of life cycle replacement budgeting. There will also be ... 4 Weeks). + Acts as our Lead Website Content Manager , including working with Web Services, providing direct website...There will be direct responsibility for asset management, documentation, reporting and hardware end of life rotation based on… more