- Raymond James Financial, Inc. (New York, NY)
- …understanding of risk-related regulatory requirements (eg, OCC, FRB, FDIC, SEC , FINRA) and ability to apply data analytics to risk reporting and risk mitigation. ... platform solutions with significant business impact to multiple Raymond James' subsidiaries. Reporting to SVP of RJF Risk Management, this leader will regularly… more
- JBT Corporation (Kingston, NY)
- …Financial and Business Leaders. + Manage the monthly, quarterly, and annual financial reporting process and ensure the data is accurate and completed. + Prepare for ... company, overseeing financial accounting, inventory/cost accounting, financial forecasting and reporting . + An in-depth understanding of accounting principles, procedures… more
- Bloomberg (New York, NY)
- …+ REITs, and 506(c)/3(c)(7) vehicles and stay current on regulatory developments ( SEC , FINRA, 1940 Act) + Use business intelligence to identify gaps, trends, ... gaps and workflow improvements + Familiarity with fund data vendors or reporting platforms (Preqin, Burgiss, Refinitiv, eVestment) + Understanding of data quality… more
- CIBC (New York, NY)
- …Delta1, ETF create/redeem. + Assist with surveillance of various regulatory reporting obligations, including: CAT, Nasdaq TRF, LOPR + Maintain and enhance ... and Written Supervisory Procedures (WSPs) to comply with applicable trading regulations ( SEC , FINRA, CFTC, NFA and others) + WSPs must clearly indicate "evidence… more
- City National Bank (New York, NY)
- …projects. * Assist with regulatory filings such as Form ADV and CFTC reporting . * Provide guidance and coaching to colleagues on interpretation and application of ... and procedures as well as all regulatory requirements (eg SEC Rule 204, SEC Rule 206, Regulation...two business days. Unless otherwise indicated as fully remote, reporting into a designated City National location is an… more
- Robert Half Finance & Accounting (New York, NY)
- …with Deferred Compensation/Equity, Variable Pay/Bonuses, Cost Control, Headcount/Employee Expenses, Tax Reporting . The role requires 4 days per week in the midtown ... individual contributor role not managing anyone. The role will ensure consistent reporting of employee expenses across the group, and interface between Finance, HR… more
- Marex (New York, NY)
- …(http://www.marex.com/) Purpose of Role: The US Compensation Controller will ensure consistent reporting of employee expenses across the group. The role is the ... for the US group in order to meet CEO reporting requirements and will also work closely with senior...Ensuring compliance with the company's regulatory requirements under the SEC , FINRA, NFA, CFTC and other applicable exchanges. +… more
- HUB International (New York, NY)
- …planning, development and implementation of HUB's investor relations programs and strategies. Reporting to HUB's Chief Financial Officer, this individual acts as the ... compliance with all regulatory requirements related to financial disclosures, including SEC filings, earnings releases, and investor communications. + Work closely… more
- Mastercard (Harrison, NY)
- …team within Corporate Treasury. This position will be based in Purchase, NY Reporting to the Director, Capital Markets, this Manager role will be responsible for ... related to Mastercard's investment portfolios Oversee cash and investments related SEC disclosure preparation (eg,10Q and 10K footnotes) Manage operations related to… more
- Mastercard (Harrison, NY)
- …team within Corporate Treasury. This position will be based in Purchase, NY. Reporting to the Manager, Cash Investments, this Senior Analyst role will be responsible ... Facilitate forecast and budget process for interest income and expenses Support SEC disclosure preparation such as 10Q and 10K footnotes Manage operations related… more