- MUFG (New York, NY)
- …report submissions to FINRA. The individual will be expected to monitor live reporting queues within the FINRA reporting facilities, research, and escalate ... will demonstrate a strong understanding of equity related transactional regulatory reporting obligations including CAT, CAIS, ORF, TRF, Rule 605/606. + Primary… more
- MUFG (New York, NY)
- …of our data warehouse, which stores critical trade data used for regulatory reporting , financial reporting , risk management, and operational trade support. The ... will perform comprehensive testing of data pipelines, ETL processes, and reporting systems to maintain data integrity, compliance, and business intelligence… more
- Mizuho Corporate Bank (New York, NY)
- …and enhancing compliance systems such as case management, regulatory reporting , and surveillance tools. You will identify process improvement opportunities ... compliance technology solutions, including surveillance, case management, and regulatory reporting systems. Identify and implement process improvements to enhance… more
- Monro Muffler/Brake (Fairport, NY)
- …Staff Accountant will work through the Director of Technical Accounting and External Reporting and works closely with the senior leadership and Investor Relations as ... including the annual Form 10-K, 401K and pension plan reporting , and quarterly Form 10-Q reporting . +...Public Accountant (CPA) highly desired. + Experience in preparing SEC filings preferred. + Motivated professional with strong analytical… 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
- Bloomberg (New York, NY)
- …comprehensive regulatory solutions that help institutions meet complex reporting obligations, streamline oversight, and enhance transparency. Leveraging Bloomberg's ... up-to-date global shareholding disclosure rules across key jurisdictions, such as: US SEC Schedule D/G, EU Transparency Directive, FCA DTR 5, AMF, BaFIN etc.… more
- SMBC (New York, NY)
- …regulatory engagements, support function coordination, governance and reporting . Regulatory Engagements: The Regulatory Governance Team supports ... Change Management + Compliance Alerts and other Communications Governance and Reporting : The Regulatory Governance Team is responsible for producing management … more
- Bank of America (New York, NY)
- …processes, risks, controls, and associated metrics for risk appetite and limits, reporting violations of compliance or regulatory activities + Assists in the ... development of independent risk management reporting for respective area(s) of coverage as input into...risk environment. + Strong understanding of securities regulations (eg, SEC , FINRA, FCA, IIROC, CVM, etc.) and global compliance… more
- Marex (New York, NY)
- …Department delivers differentiation, scalability, and security for the business. Reporting to the COO, Technology provides digital tools, software services ... manage mandatory upgrades. + Manage technical client on-boarding. + Complete exchange reporting and compliance audits. + Provide consultative sales support. + Manage… more
- Dow Jones (New York, NY)
- …why - and why it matters. Candidates should have experience with technology and markets reporting . The role will be based in New York. **You Will:** + Cover breaking ... C-suite execs in tech to identify trends + Analyze SEC filings and synthesize corporate earnings in accessible terms...Be meticulous in your copy and ambitious in your reporting + Pitch creative and compelling story ideas **You… more