- Citigroup (Getzville, NY)
- The Sec & Derivat Intmd Assoc Analyst is an entry level position responsible for processing orders and transactions originating from trading desks and branch offices ... and other counterparty activities + Contribute to the creation of customized reporting used to present information to management + Support implementation of… more
- CBRE (New York, NY)
- …carbon regulations and building performance standards (eg, NYC LL97, SEC climate rules, Sustainable Finance Disclosure Regulation) and operationalize protocols, ... coverage and data quality, monitor emerging decarbonization technologies, and maintain reporting integrity. What You'll Need: To perform this job successfully, an… more
- Citigroup (New York, NY)
- …behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency. **Qualifications:** + Expertise of Compliance ... laws, rules, regulations, risks and typologies (FINRA, SEC ) + Excellent written, verbal and analytical skills + Must be a self-starter, flexible, innovative and… more
- MUFG (New York, NY)
- …execution of the end-to-end audit process (eg planning, fieldwork testing, reporting , issues validation, etc.). The Senior Auditor I also establish direction ... Provide constructive input to Audit & Finance Committee and Management reporting . **Education and Licensure:** A Bachelor's degree, preferably in Accounting,… more
- Citigroup (New York, NY)
- …of and comfort with providing Compliance guidance in relation to applicable FINRA and SEC rules including REG SHO, 5320, Reg M. + Providing compliance coverage and ... behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency. **Qualifications:** + Highly motivated, strong… more
- Mizuho Corporate Bank (New York, NY)
- …meets regulatory expectations and industry best practice Assist with Metrics reporting and governance process (ie review and challenge, monitoring, maintenance of ... and control functions Knowledge of the Volcker Rule (and metrics reporting requirements) required Knowledge of -Bank regulations, Commodity Futures Trading… more
- JPMorgan Chase (New York, NY)
- …compliance with regulatory requirements. **Job responsibilities** + Prepare weekly reporting on regulatory exams and regulatory engagements for distribution while ... with senior management, banking and security expertise includes OCC, FRB, FDIC, SEC , FINRA, NFA, CME, and state regulators. + Coordinate onsite examinations,… more
- BMO Financial Group (New York, NY)
- …requirements + Develops and maintains compliance information for analysis and reporting . + Achieves compliance goals by maintaining current knowledge of regulatory ... preferred + Experience with a regulatory agency strongly preferred, including FINRA, SEC , NYSE + Knowledge of FICC, equities, prime brokerage, and investment banking… more
- CHS Inc. (Albany, NY)
- …unit stakeholders to develop a thorough understanding of the business, relevant financial reporting risks and core key processes. + Support the timely creation of ... and/or Internal Audit **Additional Qualifications** + Previous SOX experience at a large SEC Filer company + Professional certification such as CPA, CIA, CMA +… more
- TD Bank (New York, NY)
- …Ensure TDS meet regulatory requirements as it related to surveillance data (eg, SEC , CFTC, NFA, FINRA, FCA, CIRO, etc.) and aligns with internal compliance policies. ... data-quality issues, implement controls to prevent recurrence, and enhance reporting mechanisms for senior management. + Stakeholder Engagement: Serve as… more
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