- JPMorgan Chase (New York, NY)
- …as regulators, including the US Securities and Exchange Commission ( SEC ), Financial Industry Regulatory Authority (FINRA) and other Self-regulatory organizations ... issues involving equity research, sales and trading, broker-dealer regulatory requirements, SEC and SRO rule interpretations, technology and operational issues, and… 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 ... + Big Four public accounting or large multi-national experience preferred + CPA or CPA candidate a plus +...financial systems and software + Entry level knowledge of GAAP/ SEC accounting and reporting. + Proficient with MS office… more
- Scotiabank (New York, NY)
- …the business as usual execution of the CFTC Swap Dealer, SCUSA FCM, and SEC + Security-Based Swap Dealer ("SBSD") compliance programs, + advisory coverage of the ... liaising with regulators, particularly the US Securities and Exchange Commission (" SEC "), US Commodity Futures Trading Commission ("CFTC"), and National Futures… 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...environment is required. + Control framework knowledge & experience preferred eg SOX 404, COBIT and COSO frameworks. +… more
- 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
- 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 ... time management skills. + Excellent written and verbal communication skills. Preferred Experience + Recent executive compensation consulting experience within an… more
- MetLife (New York, NY)
- …VP & Global Head of Technical Accounting Group Location: 200 Park Avenue ( preferred ); Whippany, NJ; Bridgewater, NJ; Tampa, FL Setting: Hybrid Reports to: SVP, ... exchange, pensions, stock compensation, mergers & acquisitions, goodwill, tax and SEC reporting and planning and projections. * Identifying and assessing technical… 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 ... on business imperatives. + We love growth - the SEC role has frequent involvement in touring and scoping...Manager Certification required. + Certified Dietary Manager (CDM) certification preferred . If hired without your CDM, we have a… more
- Raymond James Financial, Inc. (New York, NY)
- …mitigate regulatory risks associated with Capital Markets activities, ensuring adherence to SEC , FINRA, FRB Bank Holding Company, and state securities regulations. + ... Knowledge of:** + Securities industry compliance practices, concepts, and procedures. + SEC , FINRA, FRB Bank Holding Company, and state regulatory frameworks. +… 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 , ... systems, file systems, and memory structures on Windows, MacOS and Linux ** Preferred Qualifications:** Preferred Qualifications: 18. Specialization in one or… more