- Citizens (New York, NY)
- …compliance at a FINRA registered broker dealer. + In-depth knowledge of SEC and FINRA rules (trade reporting , markups/markdowns, suitability, communications). + ... Officer for our Fixed Income Sales & Trading team. Reporting to the Head of Sales & Trading Compliance,...Monitor trading activity and resolve exceptions related to trade reporting , order handling, and surveillance alerts. + Conduct daily… more
- Corning Incorporated (Corning, NY)
- Investor Relations Manager **Date:** Sep 24, 2025 **Location:** Corning, NY, US, 14831 **Company:** Corning Requisition Number: 70337 **The company built on ... safer, and smarter transportation **Role Purpose** The Investor Relations Manager is responsible for supporting all aspects of the...+ Respond to inquiries on company performance, financials, and SEC filings with accuracy. + Manage CRM systems to… more
- JPMorgan Chase (Brooklyn, NY)
- …evaluation and improvement of our controls. In this role you will be supporting SEC Reporting , Lead Bank Reporting , Regulatory Policy, and Corporate ... evaluation of controls and sustainable solutions to mitigate operational risk. As a **Control Manager - Associate** within the FCM team, you will work to ensure a… more
- City National Bank (New York, NY)
- INVESTMENT ANALYTICS & TRADE MONITORING MANAGER *ABOUT US* City National Rochdale (CNR) partners with financial advisors and their high-net-worth clients to build ... improper order handling, concentration limit violations, and securities journaling. * Reporting : Develop and implement quarterly, monthly, and daily reporting .… more
- Mastercard (Harrison, NY)
- …support with moderate to complex accounting issues and assists in the review of reporting deliverables to assure compliance with SEC requirements - Assists with ... businesses and governments realize their greatest potential._ **Title and Summary** Manager , Technical Accounting Overview: The Manager , Technical Accounting… more
- SMBC (New York, NY)
- …decision-making across complex initiatives. + Deliver clear and consistent communications, reporting , and documentation to stakeholders at all levels. + Support the ... required. + Conduct reviews to ensure projects are added to the project reporting system and continuously updated with relevant, accurate, and timely data suitable… more
- Raymond James Financial, Inc. (New York, NY)
- …oversees compliance processes including scheduling, training, and review of compliance reporting . + Establishes objectives and develops processes and procedures to ... ensure adherence to all regulatory requirements. + Monitors reporting . + Partners with business units to recommend policy and process changes to Senior Management. +… more
- Grant Thornton (New York, NY)
- …related license/certification preferred + Strong current knowledge in US GAAP, GAAS, SEC Reporting , transaction advisory services or mergers and acquisitions ... As a Financial Due Diligence Manager , you'll focus on middle-market transactions, serving dynamic organizations with experienced professionals who bring a full range… more
- 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 ... all Bank Compliance policies and procedures as well as all regulatory requirements (eg SEC Rule 204, SEC Rule 206, Regulation Best Interest, Code of Conduct,… more
- 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