• SVP, Corporate Controller & Principal Accounting…

    Arrow Financial Corporation (Glens Falls, NY)
    …for you if you have experience in: > Operational Accounting > Financial Reporting About this position: Oversee the Company's operational accounting and financial ... reporting functions, including Sarbanes-Oxley Act of 2002 (SOX)/internal control...2002 (SOX)/internal control related aspects, Securities and Exchange Commission ( SEC ) filing requirements, regulatory (call report, FRY 9, etc.)… more
    Arrow Financial Corporation (08/26/25)
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  • Sr. VP, Account Manager, Depositary Receipt…

    Citigroup (New York, NY)
    …ADRs, GDRs), including program structure, lifecycle management, regulatory compliance (eg, SEC filing requirements), and market dynamics. + Collaborate with internal ... identify and escalate operational risks or compliance concerns. + Manage client reporting and data analytics related to DR program performance. **5. Market… more
    Citigroup (08/16/25)
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  • Compliance Business Oversight Manager

    TD Bank (New York, NY)
    …+ **Ensure ongoing compliance with the Investment Company Act of 1940, FINRA, SEC rules, and other applicable state and federal securities laws** + **Assist in ... regulatory requests and exams, and help manage responses to State, FINRA, and SEC inquiries** + **Help mitigate risk and ensure the firm meets regulatory… more
    TD Bank (09/24/25)
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  • Risk Data & Analytics Executive

    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. ... with significant business impact to multiple Raymond James' subsidiaries. Reporting to the SVP of Risk Data & Analytics,...and Abilities** **Knowledge of** + Federal Reserve, OCC, FINRA, SEC , and other relevant regulatory guidance + Experienced in… more
    Raymond James Financial, Inc. (08/27/25)
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  • Senior Compliance Officer - Fixed Income Advisory

    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 (08/07/25)
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  • Cost Accountant

    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
    JBT Corporation (09/22/25)
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  • Director, Media Relations

    NBC Universal (New York, NY)
    …execution of communications strategies to enhance VERSANT's visibility with financial stakeholders. Reporting to the VP of Media Relations, the Director will manage ... and results in the marketplace. + Ensure all financial communications adhere to SEC rules, Regulation FD, and industry best practices. + Support investor days,… more
    NBC Universal (09/27/25)
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  • Compliance Oversight Manager-EPOCH

    TD Bank (New York, NY)
    …dedicated to setting new industry standards. **Epoch Investment Partners, Inc., a SEC registered investment adviser with approximately $30 billion of assets under ... this person will be responsible for drafting procedures and controls to address new SEC rules that will impact Epoch and its affiliates. This person will also assist… more
    TD Bank (09/21/25)
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  • Compliance Associate - Swap Advisory

    Marex (New York, NY)
    …Compliance Advisory services for Swap Dealer support functions such as Trade Reporting , Operations, and Finance. + Ensuring compliance with the company's regulatory ... requirements under the SEC , FINRA, NFA, CFTC and other applicable exchanges. +...roles with a heavy regulatory aspect (eg operations, trade reporting , operational risk etc.) may also be considered. +… more
    Marex (09/18/25)
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  • Compliance Officer Senior-Commercial

    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
    City National Bank (09/13/25)
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