- Citigroup (Getzville, NY)
- The Regulatory Reporting role is a senior analyst position within the CGMI Segregation Oversight team, which is responsible for executing daily controls to mitigate ... the inherent risk of non-compliance with the SEC 's Client Asset Protection rule (15c3-3), a Tier 2...processes and controls to mitigate the risk of inaccurate reporting . + Collaborate with the team to drive process… more
- Mizuho Corporate Bank (New York, NY)
- …of the largest-and growing-banks in the world. About the Team Operations Regulatory Reporting is a newly created team within Operations that is responsible for the ... team's daily operations ensure the bank meets its regulatory reporting obligations and that data is reported in an...in a dynamic environment + Knowledge of various FINRA, SEC , or CFTC regulations + Experience with various regulatory… more
- Meta (Albany, NY)
- …to Job" online on this web page. **Required Skills:** Infrastructure Accounting Reporting Manager Responsibilities: 1. Support the accounting and reporting ... the fixed asset roll forward and the capital expenditures reporting for both procured and cash capex for the...to public companies, such as Securities and Exchange Commission ( SEC ) regulations 18. 6. Communicating efficiently across teams and… more
- Citigroup (Getzville, NY)
- **Objective** The Operations Regulatory Reporting group validates, monitors, & performs regulatory reporting . The AVP role is responsible for various regulatory ... external reg engagements. **Key Responsibilities** + Analyze data for regulatory reporting obligations to US regulators, such as Non-centrally Cleared Bilateral Repo… more
- CIBC (New York, NY)
- …responsible for 1) advising CIBC's global Swaps OTC Derivatives businesses on CFTC, SEC , and NFA rule requirements, as well as CIBC's Global Markets employees on ... the technical aspects of rules for the SEC Security Based Swaps Dealer and the CFTC Swap...to swaps implemented under the Dodd-Frank Act (eg real-time/SDR reporting , large trader reporting , external business conduct… more
- Central Hudson Gas & Electric Corporation (Poughkeepsie, NY)
- …Wellness reimbursement program + Paid holidays and vacation **What is a Manager - Info Sec Identity & Access Management?** The Manager - Info Sec Identity & ... of the Identity and Access Management (IAM) program. The Manager - Info Sec Identity & Access will provide direction and guidance to the development, specifications,… more
- Robert Half Finance & Accounting (Westbury, NY)
- …align with our strategic financial goals. With a significant focus on financial reporting and Securities and Exchange Commission ( SEC ) compliance, this position ... complex corporate environments. Responsibilities: * Ensuring timely and accurate filings of SEC periodic reports (10-K, 10-Q, 8-K) in accordance with US Generally… 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...Leads or assists with the maintenance, monitoring, measurement & reporting on the status of the governance program to… more
- Marex (New York, NY)
- …as well as providing compliance advisory services regarding various other regulatory reporting requirements, including TRACE and RTRS reporting . The position ... + Serve as a subject matter expert on products, regulatory reporting , and broker-dealer operations by maintaining proficient knowledge of applicable functions.… more
- Marex (New York, NY)
- …Products trading activities as well as knowledge of various regulatory reporting requirements. The position will primarily focus on providing real-time compliance ... Serve as a subject matter expert ("SME") on products, regulatory reporting , and broker-dealer operations by maintaining proficient knowledge of applicable functions.… more