- Aflac (NY)
- …+ Learn how to coordinate the breach investigation process and management reporting . + Assist with analysis of client Investment Management Agreements (IMAs) and ... controls in relation to trade guideline monitoring. + Monitor developments with the NAIC, SEC , Japan FSA, State DOI's and CFTC as they relate to the Investment… more
- Stony Brook University (Stony Brook, NY)
- …virtual and in-person) that advance strategic initiatives. + Lead the progress reporting and analysis of research development associate initiatives to share with ... lawful permanent resident, or other "protected individual" (as defined by 8 USC Sec . 1324b(a)(3). For this position, we are unable to sponsor candidates for work… more
- Stony Brook University (Stony Brook, NY)
- …post-award administrative support including expenditure approvals, accounting detail and reporting requirement information. Monitor the acceptance of costs on ... lawful permanent resident, or other "protected individual" (as defined by 8 USC Sec . 1324b(a)(3). For this position, we are unable to sponsor candidates for work… more
- Raymond James Financial, Inc. (New York, NY)
- …all exam findings to branch management, exam managers and compliance leadership + Provide reporting of exam findings and complete any related follow up in a timely ... broker/dealer compliance and/or branch exams + Rules and regulations of the SEC , FINRA, and state securities regulatory agencies + Fundamental investment concepts,… more
- Mastercard (Harrison, NY)
- …support with moderate to complex accounting issues and assists in the review of reporting deliverables to assure compliance with SEC requirements - Assists with ... training and communication of new accounting pronouncements by developing training content and memos - Assist with discussions and provide specific recommendations to VP, Technical Accounting - Assist in special requests from Senior Management for analysis,… more
- CBRE (Albany, NY)
- …Lead the design, testing, and monitoring of internal controls over financial reporting and business systems, ensuring compliance for both government and commercial ... - Track and interpret changes in government contracting regulations, SEC /SOX requirements, and accounting standards, update policies and processes accordingly.… more
- Tradeweb (New York, NY)
- …Responsibilities** + Oversight of consolidated budgeting, 3year plan and financial reporting + Financial modeling and analysis related to current businesses and ... adhoc analysis + Create annual and quarterly earnings materials for investor presentations and SEC filings + Manage and mentor global FP&A team members + Delivery of… more
- GE Vernova (New York, NY)
- …the EDGE Chief Compliance Officer in the development of KPIs, KRIs and reporting packages utilized to inform management of priorities, risks and corrective actions ... for investment advisers registered with the Securities & Exchange Commission ( SEC ). + Demonstrated understanding of the UK Financial Conduct Authority (FCA)… more
- JPMorgan Chase (New York, NY)
- …+ Review and disposition trade alerts escalated from Trade Surveillance and reporting /escalation to the Market Conduct Violation Program + Assist in the completion ... working groups + Stay current and advise on regulatory updates ( SEC and other) impacting the asset management business **Required qualifications, capabilities,… 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