- JPMorgan Chase (New York, NY)
- …private banking solutions, managing client assets worth $4 trillion. As a Supervisory Manager , you will be at the forefront of guiding our Financial Advisors, ... foundations to achieve their financial aspirations. As a Supervisory Manager in Chase Wealth Management, you will lead and...financial sector. + In-depth knowledge of FINRA, MSRB, and SEC rules and regulations. + Strong critical thinking and… 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
- Deloitte (New York, NY)
- Senior Manager - FSI Risk, Regulatory & Forensic Our Deloitte Regulatory, Risk & Forensic team helps client leaders translate multifaceted risk and an evolving ... or broker-dealer, including execution and oversight processes, risk assessment, reporting , controls, testing, and data analytics + Experience leading...the CFPB, the OCC, the CFTC, FINRA, and the SEC The wage range for this role takes into… more
- Neuberger Berman (New York, NY)
- …the NB Private Markets group. This role will report to the SVP and manage the SEC reporting and filings to ensure compliance, and will be involved in hiring, ... + 7 - 12 years accounting/finance experience; CPA preferred + Experience with SEC reporting for Registered Investment Companies required + Credit-related product… more
- Mizuho Corporate Bank (New York, NY)
- Asset Management One USA Inc is a New York-based asset manager ( SEC registered investment adviser and CFTC registered CTA/CPO) with approximately $ 7 b under ... Assist with regulatory compliance, including filings of regulatory forms (NFA/ SEC ) + Assist with investor reporting preparation...regulatory forms (NFA/ SEC ) + Assist with investor reporting preparation and ad-hoc reporting requests +… 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 ... (EMM) Expertise- Deep experience with Microsoft Intune, MobileIron, Microsoft Endpoint Manager , and mobile device compliance policies. - Security and Compliance… 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
- Neuberger Berman (New York, NY)
- …The Assistant Controller is responsible for overseeing all aspects of fund reporting operations for multiple private equity funds across the Neuberger Berman ... as a key member of the finance team overseeing accounting and financial reporting for Neuberger Berman's Secondary Funds business + Support accounting and financial … more
- TD Bank (New York, NY)
- …have previous compliance experience, preferably in an advisory capacity. The Senior Manager will provide support to the overall Markets Advisory Compliance team ... practice. + Knowledge of rules surrounding TRACE, MSRB RTRS Reporting and US Treasury Auctions + Identify key regulatory...with the ability to assess firm impact. Specifically, FINRA, SEC , CFTC, NYSE, FED and OCC. + Excellent oral… more
- BMO Financial Group (New York, NY)
- …Fixed Income Compliance team in New York with a focus on FINRA and SEC broker-dealer requirements and corresponding oversight. We are looking for someone to work ... mitigate them. Develop and maintain compliance information for analysis and reporting . Achieve compliance goals by maintaining current knowledge of regulatory… more