- JPMorgan Chase (New York, NY)
- …compliance program design and operation under Rule 38a-1, including testing, reporting , and documentation. + Prepare and present Board-facing reports and updates ... risks or control gaps in fund operations. + Maintain working knowledge of SEC rules applicable to closed-end funds, tender offers, and affiliated transactions. +… 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
- Insight Global (New York, NY)
- …Application Management (MAM). Experience must align with compliance standards such as SEC , FINRA, SOX, and GLBA. Experience with integrations into Microsofts O365 ... in a highly compliant environment with standards such as SEC , FINRA, SOX and GLBA - Scripting and Automation-...Automation- Ability to develop PowerShell scripts for automation, compliance reporting , and system remediation. null We are a company… more
- Janus Henderson Investors (New York, NY)
- …management + Periodic (monthly or quarterly) fund valuations + Fund performance reporting , statistics, and return attribution Fund Infrastructure + Fund docs and ... necessary for trading access (eg, rate and/or equity futures and options) + SEC filings + Establishing all necessary cash accounts (some are tri-party with MRA/repo… more
- Scotiabank (New York, NY)
- …examinations by evaluating and responding to requests from regulators including SEC , FINRA, NY Federal Reserve, and US Treasury Department. In coordination ... to a broker-dealer equities sales and trading business. + Knowledge of relevant SEC and FINRA rules and regulations pertaining to Sales and Trading, including… more
- City of New York (New York, NY)
- …diligence, such as reporting on financial information in accordance with the SEC and other federal, state and/or local finance laws. - Working closely with City ... relating to the City s financings, including but not limited to MSRB and SEC amendments. - Preparing and reviewing documents related to the issuance of debt… more
- JPMorgan Chase (New York, NY)
- …FINRA and MSRB rules relevant to securities trading with focus on regulatory trade reporting , best execution, distribution of issues, and SEC Market Access rule ... + Strong written and oral executive-level communications skills + Excellent analytical skills + Bachelor's degree required + Ability to work both independently and as a core team member Preferred qualifications, capabilities, and skills + JD preferred… more
- Scotiabank (New York, NY)
- …to support compliance testing for Scotiabank's compliance of CFTC Swap Dealer, SEC Security Based Swap Dealer and Futures related regulations, including cross-border ... to create a more diverse and efficient testing and reporting experience. **What You'll Bring** + 5-7 years of...within investment or commercial bank. + Familiarity with applicable SEC , CFTC, NFA rules applicable to international banks conducting… more
- Neuberger Berman (New York, NY)
- …Member of the finance team responsible for the accounting and financial reporting oversight for Neuberger Berman's Specialty Finance business + Experience managing ... funding requirements + Generating reports including borrowing base certificates, covenant reporting , etc. + Managing all communication with lenders + Oversight and… more
- IBM (Armonk, NY)
- …a myriad of specialized corporate functions that support IBM's external financial reporting processes. IBM's Accounting Policy and Financial Reporting provides ... United States Generally Accepted Accounting Principles (GAAP) in the recording and reporting of business transactions, and the preparation of IBM's main Security and… more