- Equitable (Charlotte, NC)
- …Are you ready to join an organization that will help unlock your potential? Reporting directly to the Equitable Financial Chief Compliance Officer, the role is ... Chief Compliance Officer, you'll be responsible for the following: + Monitoring FINRA, SEC , State and Insurance department laws, rule and regulations and ensure that… more
- Wells Fargo (Charlotte, NC)
- …client onboarding, lifecycle events, inquiries related to trading strategies, and SEC exam preparation. The position also involves collaborating with various ... + Advise on regulatory matters impacting CFTC regulated swaps as well as SEC regulated securities-based swaps + Provide regulatory advice on CFTC/ SEC regulated… more
- Truist (Charlotte, NC)
- …to ensure all transactions are recorded timely into the general ledger and that financial reporting is accurate. 8. Oversee the timely and accurate monthly, ... members. 3. Strong knowledge and understanding of US GAAP, SEC Regulations, and Banking Regulatory Accounting Principles. In addition,...knowledge of financial transactions flow and their financial reporting and regulatory reporting … more
- NetApp (Morrisville, NC)
- …Requirements:** + Demonstrated experience in general corporate matters, including SEC reporting , M&A, financing, executive compensation, corporate organization, ... and other corporate governance rules and regulations + Support SEC and NASDAQ compliance and reporting obligations,...legal services, and access to discounts. Finally, we provide financial savings programs to help you plan for your… more
- Wells Fargo (Charlotte, NC)
- …is seeking a Senior Accounting Policy Analyst to join our Accounting Policy and SEC Reporting team within the Controller's organization. **In this role, you ... with accounting policy work + Excellent verbal and written communication skills + SEC reporting experience - specifically reviewing 10Ks and 10Qs + Active… more
- TD Bank (Charlotte, NC)
- …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
- Equitable (Charlotte, NC)
- …Come join the Advertising Compliance team and enjoy working for a leading financial company with an amazing and diverse culture! We offer a flexible hybrid ... If you are ready for this exciting challenge, don't hesitate to apply today! Reporting to the Team Lead of our Advertising Compliance team the Advertising Compliance… more
- Wells Fargo (Charlotte, NC)
- …business/regional reporting , Treasury support activities, SEC and regulatory reporting , and internal control frameworks for financial reporting . **In ... and/or business process, regulatory, or advisory/consulting service + Exposure to bank financial reporting requirements, such as familiarity with broker dealer… more
- TD Bank (Charlotte, NC)
- …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
- Xylem (Charlotte, NC)
- …control activities and financial reviews to ensure accurate and timely financial reporting and compliance with laws and regulations. + Prepare ... position will serve as the key contact point for reporting results to the Americas Accounting Team, the Water...quarterly and year-end accounting close processes and preparation of Financial Statements in accordance with US GAAP. + Responsible… more