- Neuberger Berman (New York, NY)
- …+ Serve as a key member of the finance team overseeing accounting and financial reporting for Neuberger Berman's Secondary Funds business + Support accounting ... and financial reporting oversight for Neuberger Berman's broader...requests from senior management and portfolio managers + Support SEC and other regulatory compliance activities as needed **Qualifications:**… more
- TD Bank (New York, NY)
- …the Office of Currency Comptroller (OCC), Securities and Exchange Commission ( SEC ) and Financial Industry Regulatory Authority** **(FINRA)** **Customer ... findings, coordinates with the field on client response, prepares periodic reporting to multiple stakeholders, and manages ongoing marketing items to ensure… more
- Mizuho Corporate Bank (New York, NY)
- …requirements and industry standards related to compliance technology. Deep understanding of financial regulations and industry standards ( SEC , FINRA, GDPR, etc.) ... developing and enhancing compliance systems such as case management, regulatory reporting , and surveillance tools. The ideal candidate will identify process… more
- CIBC (New York, NY)
- …Investment Banking, Commodities and brokerage operations. + Solid understanding of FINRA, SEC and NYSE rules and regulations + Knowledge of federally recognized ... management experience + Prior experience working at a securities regulator (FINRA, SEC , NYSE) highly preferred + Former role as a commissioned securities examiner,… more
- Humana (Albany, NY)
- …404 requirements. + Collaborate cross-functionally with Finance, Legal, Treasury, and Regulatory Financial Reporting , et al to align tax accounting with business ... US GAAP and statutory accounting principles. + Oversee tax-related disclosures in SEC filings (10-Q, 10-K) and statutory financial statements, including… 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 + ... from senior management and portfolio managers + Assist with SEC or other regulatory compliance as required **Qualifications** :...Strong understanding of accounting theory and fund accounting and financial reporting + 8 - 12 years… more
- Evolent (Albany, NY)
- …This role is part of a centralized corporate FP&A team focused on financial intelligence, analysis, and forecasting, with a strong emphasis on strategic thought ... the primary finance partner to the Services leadership team, owning end-to-end financial performance and decision support. * Lead and develop a high-performing FP&A… more
- SMBC (New York, NY)
- SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, ... than 130 offices and 80,000 employees worldwide in nearly 40 countries. Sumitomo Mitsui Financial Group, Inc. (SMFG) is the holding company of SMBC Group, which is… more
- Raymond James Financial, Inc. (New York, NY)
- …banking compliance. + Rules and regulations of: Securities Exchange Commission ( SEC ); Financial Industry Regulatory Authority (FINRA); state securities ... oversees compliance processes including scheduling, training, and review of compliance reporting . + Establishes objectives and develops processes and procedures to… more
- Tompkins Community Bank (Ithaca, NY)
- …examiners. + Assist in quarterly preparation of financial reports for regulatory and SEC reporting as well as in the annual budgeting process. + Provide ... and Finance departments. + Assist with establishing and maintaining internal controls over financial reporting and with responding to requests from internal and… more